Disciplined List
Maxwell, Steven (aka Steven Fassman)
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Date of Order or Settlement:
2019-02-19
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts
- Permanent director/officer ban
- Permanent ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
- Permanent ban from becoming or acting as a registrant or promoter
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
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Fraud
Ruling Body:
BCSCPayment Agreed/Ordered:
$120,500 in disgorgement and an administrative penalty of $300,000