Enforcement

Disciplined List

Mitton, Michael Lee

Date of Order or Settlement:

2005-09-29

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)

Supporting Documents:

Settlement/Order - December 19, 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

Payment Agreed/Ordered:

$250,000 plus $235,577.20 in costs (2005)

$5,000 in costs (1988)