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Alexander, James Terrence

Date of Order or Settlement:

    Permanent trading ban with conditions (2007)

    Permanent director/officer ban with conditions (2007)

    Permanent investor relations ban (2007)

    20-year trading ban with conditions (1999)

    20-year investor relations ban (1999)

    20-year director/officer ban (1999)

Supporting Documents:

    Breach of Order (2007)

    Acting contrary to the public interest (2007)

    Failure to disclose material facts (1999)

    Trading on undisclosed material facts (1999)

    Failure to file insider reports (1999)

Ruling Body:
Payment Agreed/Ordered:

$200,000 (2007)

$1.2 million in fines and costs  (1999)