Enforcement

Disciplined List

Baker, James Woodrow

Date of Order or Settlement:

2010-05-14
Banned Until:

2014-10-20

Sanction:

5-year director/officer ban

Supporting Documents:

Reciprocal Order

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Violation:

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

Ruling Body:

BCSC, Alberta Securities Commission

Payment Agreed/Ordered:

$15,000 (ASC)

$9,000 in costs (ASC)