Disciplined List
Cody, Michael
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Date of Order or Settlement:
2010-01-25
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts with conditions (BCSC)
- Permanent director/officer ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (NBSC)
- Failure to file a prosepectus (NBSC)
- Misrepresentations to investors (NBSC)
- Misrepresentations to staff (NBSC)
Ruling Body:
BCSC, New Brunswick Securities Commission (NBSC)Payment Agreed/Ordered:
$50,000 (NBSC)