Disciplined List
Broers, Daren M.
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Date of Order or Settlement:
2009-07-07 -
Banned Until:
2019-01-16
Sanction:
- 10-year ban from trading and purchasing securities and exchange contracts, with conditions
- 10-year ban from trading and purchasing exemptions described in sections 44 to 47, 74, 98 and 99 of the Securities Act, with conditions
- 10-year ban from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager, with conditions
- 10-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 10-year ban from from acting in a management or consultative capacity in connection with activities in the securities market
- 10-year ban from engaging in investor relations activities
Supporting Documents:
Violation:
- Illegal distribution (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$40,000 plus $10,000 in costs (ASC)