Enforcement

Disciplined List

Broers, Daren M.

Date of Order or Settlement:

2009-07-07
Banned Until:

2019-01-16

Sanction:

10-year ban from trading and purchasing securities and exchange contracts, with conditions
10-year ban from trading and purchasing exemptions described in sections 44 to 47, 74, 98 and 99 of the Securities Act, with conditions
10-year ban from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager, with conditions
10-year ban from becoming or acting as a registrant, investment fund manager or promoter
10-year ban from from acting in a management or consultative capacity in connection with activities in the securities market
10-year ban from engaging in investor relations activities

Supporting Documents:

Violation:

Illegal distribution (ASC)
Acting contrary to the public interest (ASC)

Ruling Body:

BCSC, Alberta Securities Commission (ASC)

Payment Agreed/Ordered:

$40,000 plus $10,000 in costs (ASC)