DISCIPLINED PERSONS LIST

Name Dix, Gordon Jr.
Date of Order or Settlement September 25, 2001
Banned Until September 25, 2011
Sanction

10-year trading ban with conditions

10-year director/officer ban with conditions

10-year investor relations ban

Payment Agreed / Ordered $25,000 plus $14,459.70 in costs
Violation

Unregistered distribution

Unregistered trading

Unregistered advising

Attending residences for the purpose of trading a security

Ruling Body BCSC
Supporting Documents

Decision on Costs - November 15, 2001  New window

News Release - September 26, 2001

Decision - Penalty - September 25, 2001 New window

News Release - July 23, 2001

Decision - Findings - July 20, 2001 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.