Disciplined List
Mason, Douglas Laurence
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Date of Order or Settlement:
2004-08-25 -
Banned Until:
2005-08-25
Sanction:
- 1-year trading ban with conditions
- 1-year director/officer ban with conditions
- 1-year investor relations ban with conditions
- An undertaking to comply fully with the Securities Act, Securities Rules, and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Failure to file insider reports
- Creating a misleading appearance of trading activity contrary to the public interest
- Failure to file the notices and reports that control persons are required to file
Ruling Body:
BCSCPayment Agreed/Ordered:
$200,000 plus $50,000 in costs