Disciplined List
Alexander, James Terrence
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Date of Order or Settlement:
2007-12-31
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)
Supporting Documents:
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:
BCSCPayment Agreed/Ordered:
$200,000 (2007)
$1.2 million in fines and costs (1999)