Enforcement

Disciplined List

Croft, Thomas Landon

Date of Order or Settlement:

2001-03-22
Banned Until:

2009-03-22

Sanction:

8-year trading ban
8-year director/officer ban
8-year investor relation ban
An undertaking to complete a course satisfactory to the Executive Director concerning the duties of officers and directors of public companies in this jurisdiction

Supporting Documents:

Settlement/Order

Violation:

Unregistered trading
Unregistered distribution
"Cold calling" residences to effect trades in securities

Ruling Body:

BCSC

Payment Agreed/Ordered:

$7,000 plus $3,000 in costs