DISCIPLINED PERSONS LIST
[Print]
| 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 |
Reciprocal Order  |
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