DISCIPLINED PERSONS LIST

Name Wong, Lisa
Date of Order or Settlement June 24, 2008
Banned Until November 13, 2010
Sanction

3-year trading ban with conditions (BCSC)

3-year director/officer ban with conditions (BCSC)

3-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)

3-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)

3-year investor relations ban (BCSC)

Payment Agreed / Ordered $40,000 (ASC)
Violation

Illegal Distribution (ASC)

Unregistered trading (ASC)

Acting contrary to the public interest (ASC)

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

News Release

Reciprocal 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.