Disciplined List
Moxon, Elizabeth Anne
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Date of Order or Settlement:
2004-01-21 -
Banned Until:
2009-01-21
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban
- 5-year investor relations ban
- An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Participating in transactions that contributed to a misleading appearance of trading activity or an artificial price for shares
- Illegal distribution
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000 in costs