DISCIPLINED PERSONS LIST

Name Cody, Michael
Date of Order or Settlement January 25, 2010
Sanction

Permanent ban from purchasing and trading in securities or exchange contracts with conditions (BCSC)

Permanent director/officer ban (BCSC)

Payment Agreed / Ordered $50,000 (NBSC)
Violation

Unregistered trading (NBSC)

Failure to file a prosepectus (NBSC)

Misrepresentations to investors (NBSC)

Misrepresentations to staff (NBSC)

Ruling Body BCSC, New Brunswick Securities Commission (NBSC)
Supporting Documents

News release

Reciprocal Order 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.