DISCIPLINED PERSONS LIST

Name Ross, Stanley Steven
Date of Order or Settlement March 9, 2007
Date of Prior Decision or Settlement July 19, 1999
Banned Until March 9, 2014
Sanction

7-year trading ban (2007) (BCSC)

7-year director/officer ban with conditions (2007) (BCSC)

7-year investor relations ban (2007) (BCSC)

An Order to comply fully with the Securities Act, the Securities Rules and any applicable regulations (2007) (BCSC)

 

7-year trading ban with conditions (1999) (BCSC)

7-year director/officer ban (1999) (BCSC)

7-year investor relations ban (1999) (BCSC)

An undertaking to comply with the Securities Act (1999) (BCSC)

Payment Agreed / Ordered

$50,000 (2007) (BCSC)

 

$130,000 (1999) (VSE)

$135,000 disgorgment of profits (1999) (VSE)

$10,000 in costs (1999) (VSE)

Permanent removal of Exchange approval (1999) (VSE)

Violation

Unregistered trading (2007) (BCSC)

Acting contrary to the public interest  (1999) (BCSC)

Failure to disclose material facts (1999) (VSE)

Trading without written authorization (1999) (VSE)

Acting in violation of VSE By-Laws and Rules (1999) (VSE)

Ruling Body BCSC, Vancouver Stock Exchange (VSE)
Supporting Documents

News Release - March 13, 2007

Settlement/Order - March 9, 2007 New window

Settlement/Order - July 19, 1999 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.