Disciplined List
Wilby, Simon
-
Date of Order or Settlement:
2010-09-08 -
Banned Until:
2012-03-01
Sanction:
- 2-year trading ban with conditions (BCSC)
- 2-year denial of exemptions (BCSC)
- 2-year director/officer ban (BCSC)
Supporting Documents:
Violation:
- Illegal distribution (ASC)
- Unregistered trading (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$15,000 plus $5,000 in costs (ASC)