DISCIPLINED PERSONS LIST

Name Alexander, James Terrence
Date of Order or Settlement December 31, 2007
Date of Prior Decision or Settlement February 23, 1999
Sanction

Permanent trading ban with conditions (2007)

Permanent director/officer ban with conditions (2007)

Permanent investor relations ban (2007)

20-year trading ban with conditions (1999)

20-year investor relations ban (1999)

20-year director/officer ban (1999)

Payment Agreed / Ordered

$200,000 (2007)

$1.2 million in fines and costs  (1999)

Violation

Breach of Order (2007)

Acting contrary to the public interest (2007)

Failure to disclose material facts (1999)

Trading on undisclosed material facts (1999)

Failure to file insider reports (1999)

Ruling Body BCSC
Supporting Documents

News Release - January 2, 2008

Decision/Order - December 31, 2007 New window

News Release - October 25, 2007 

Decision - October 24, 2007 New window

News Release - February 26, 1999

Settlement/Order - February 23, 1999 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.