Disciplined List
Regier, Bradley
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Date of Order or Settlement:
2009-04-22
Sanction:
- 19-year trading ban with conditions (BCSC)
- Permanent director/officer ban with conditions (BCSC)
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- Permanent ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- Permanent investor relations ban (BCSC)
Supporting Documents:
Violation:
- Fraud (ASC)
- Misrepresentations (ASC)
- Failure to file (ASC)
- Making false certificates in offering memoranda (ASC)
- Illegal distribution (ASC)
- Making false or misleading statments under oath (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$200,000 plus $26,399.18 in costs (ASC)