Disciplined List
Fiessel, Mervin George
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Date of Order or Settlement:
2006-10-26
Sanction:
- Permanent trading ban with conditions
- Permanent director/officer ban
- Permanent investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Misrepresentations
- Unregistered trading
- Illegal distribution
- Violations that involve fraud or deliberate or reckless disregard of a regulatory requirement in the United States; and that result in substantial losses or create a significant risk of substantial losses to others, or result in substantial gain to the person who committed the violation, contrary to the public interest in British Columbia
Ruling Body:
BCSCPayment Agreed/Ordered:
$144,445 (BCSC)
USD $147,486.60 plus pre-judgment interest in disgorgement of profits to US Securities and Exchange Commission