DISCIPLINED PERSONS LIST

Name Smith, Richard Albert James
Date of Order or Settlement March 29, 2004
Banned Until March 29, 2007
Sanction

3-year trading ban with conditions

3-year director/officer ban with conditions

3-year investor relations ban

An undertaking to comply with the Securities Act and Securitie Rules

An undertaking not to apply for registration for 3 years from the date of the Order

Violation

Illegal distribution

Unregistered trading

Ruling Body BCSC
Supporting Documents

News Release

Settlement/Order 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.