DISCIPLINED PERSONS LIST
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| 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 |
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