DISCIPLINED PERSONS LIST
[Print]
| Name | Fiessel, Mervin George |
|---|---|
| Date of Order or Settlement | October 26, 2006 |
| Sanction |
Permanent trading ban with conditions Permanent director/officer ban Permanent investor relations ban An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations |
| Payment Agreed / Ordered |
$144,445 (BCSC) USD $147,486.60 plus pre-judgment interest in disgorgement of profits to US Securities and Exchange Commission |
| Violation |
Misrepresentations Unregistered trading Illegal distribution Violations that involve fraud or deliberate or reckless disregard of a regulatory requirement in the United States; and that result in substantial losses or create a significant risk of substantial losses to others, or result in substantial gain to the person who committed the violation, contrary to the public interest in British Columbia |
| Ruling Body | BCSC |
| Supporting Documents |
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