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Enforcement

Disciplined List

Foster, Mark Webster Vaughan

  • Date of Order or Settlement:

    2002-05-13

  • Banned Until:

    2014-05-13

Sanction:

  • 12-year trading ban with conditions
  • 12-year director/officer ban with conditions
  • 12-year investor relations ban with conditions
  • An undertaking to comply fully with the Securities Act, Securities Rule and applicable regulations

Supporting Documents:

Violation:

  • Illegal distribution
  • Misrepresentations
  • Failure to fulfill the duties and responsibilities of a director
  • Failure to comply with the "Know Your Client" rule
  • Failure to act fairly, honestly and in good faith with clients

Ruling Body:

BCSC

Payment Agreed/Ordered:

$30,000 plus $5,000 in costs