DISCIPLINED PERSONS LIST
[Print]
| Name | Mitton, Michael Lee |
|---|---|
| Date of Order or Settlement | September 29, 2005 |
| Date of Prior Decision or Settlement | December 19, 1988 |
| Sanction |
Permanent trading ban (2005) Permanent denial of exemptions (2005) Permanent director/officer ban (2005) Permanent investor relations ban (2005) 20-year trading ban (1988) 20-year director/officer ban (1988) |
| Payment Agreed / Ordered |
$250,000 plus $235,577.20 in costs (2005) $5,000 in costs (1988) |
| Violation |
Fraud (2005) Unregistered advising (2005) Unregistered trading (2005) Illegal distribution (2005) Making undeclared short sales (2005) Breach of a Commission Order (2005) Acting contrary to the public interest by manipulating the market (2005) Stock Manipulation (1988) Insider Trading (1988) Failure to File Disclosure Documents (1998) |
| Ruling Body | BCSC |
| Supporting Documents |
Decision on costs - November 30, 2005 News Release - October 3, 2005
Decision/Order - September 29, 2005 News Release - December 28, 2000 Settlement/Order - December 19, 1988
|
Disclaimer:
This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.