DISCIPLINED PERSONS LIST
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| Name | Broers, Daren M. |
|---|---|
| Date of Order or Settlement | July 7, 2009 |
| Banned Until | January 16, 2019 |
| 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 |
| Payment Agreed / Ordered | $40,000 plus $10,000 in costs (ASC) |
| Violation |
Illegal distribution (ASC) Acting contrary to the public interest (ASC) |
| Ruling Body | BCSC, Alberta Securities Commission (ASC) |
| Supporting Documents |
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