DISCIPLINED PERSONS LIST

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 New window

News Release - October 3, 2005

Decision/Order - September 29, 2005 New window

News Release - April 22, 2002

News Release - December 28, 2000

Settlement/Order - December 19, 1988 New window
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.