DISCIPLINED PERSONS LIST

Name Stuart, Christopher Michael
Date of Order or Settlement October 26, 1999
Sanction

5-year director/officer ban (BCSC)

Permanent ban on acting in any compliance or supervisory position with a member of the Vancouver Stock Exchange or any successor exchanges

Payment Agreed / Ordered

$5,000 in costs (BCSC)

$100,000 plus $25,000 in costs (ASC)

Violation

Unregistered distribution (ASC)

Failure to file insider reports (ASC)

Failure to fulfill duties and responsibilities of a director (ASC)

Ruling Body BCSC, Alberta Securities Commission (ASC)
Supporting Documents

Settlement/Order - October 26, 1999  New window

Agreed Statement of Facts - May 6, 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.