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Enforcement

Disciplined List

Hughes, Steven Peter aka Hughes, Stephen Peter

  • Date of Order or Settlement:

    2005-03-31

Sanction:

  • Permanent trading ban (2005)
  • Permanent director/officer ban (2005)
  • Permanent investor relations ban (2005)
  • 1-year trading ban with conditions (1999)
  • An undertaking to comply with the Securities Act and Securities Rules and all applicable regulations, policies and guidelines (1999)

Supporting Documents:

Violation:

  • Unregistered trading (2003)
  • Unregistered distribution (2003)
  • Misrepresentations (2003)
  • Fraud (2003)
  • Acting contrary to the public interest (2003)
  • Unregistered distribution (1999)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$250,000 plus costs (2005)

$3,000 plus $2,000 in costs (1999)