Disciplined List
Hughes, Steven Peter aka Hughes, Stephen Peter
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Date of Order or Settlement:
2005-03-31
Sanction:
- Permanent trading ban (2005)
- Permanent director/officer ban (2005)
- Permanent investor relations ban (2005)
- 1-year trading ban with conditions (1999)
- An undertaking to comply with the Securities Act and Securities Rules and all applicable regulations, policies and guidelines (1999)
Supporting Documents:
Violation:
- Unregistered trading (2003)
- Unregistered distribution (2003)
- Misrepresentations (2003)
- Fraud (2003)
- Acting contrary to the public interest (2003)
- Unregistered distribution (1999)
Ruling Body:
BCSCPayment Agreed/Ordered:
$250,000 plus costs (2005)
$3,000 plus $2,000 in costs (1999)