Decisions
Milowe Brost, Edna Forrest, Carol Weeks and Bradley Regier [Reciprocal Order]
BCSECCOM #:
2009 BCSECCOM 207
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Document Type:
Reciprocal Order
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Published Date:
2009-04-23
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Effective Date:
2009-04-22
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Details:
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2009 BCSECCOM 207
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2009 BCSECCOM 207
Reciprocal Order
Milowe Brost, Edna Forrest,
Carol Weeks and Bradley Regier
Section 161(1) of the Securities Act, RSBC 1996, c. 418
Milowe Brost, Edna Forrest,
Carol Weeks and Bradley Regier
Section 161(1) of the Securities Act, RSBC 1996, c. 418
- Introduction
- Background
- Order
- 1. under section 161(1)(b) of the Act, that Brost cease trading in, and is prohibited from purchasing securities and exchange contracts, except that Brost may trade securities he owns through accounts in his name at a registered dealer,
2. under section 161(1)(d)(i) and (ii) of the Act, that Brost resign any position he holds as, and is prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager,
3. under section 161(1)(d)(iii) of the Act, that Brost is prohibited from becoming or acting as a registrant, investment fund manager or promoter,
4. under section 161(1)(d)(iv) of the Act, that Brost is prohibited from acting in a management or consultative capacity in connection with activities in the securities market,
5. under section 161(1(d)(v) of the Act, that Brost is prohibited from engaging in investor relations activities,
permanently.
1. under section 161(1)(b) of the Act, that Forrest cease trading in, and is prohibited from purchasing securities and exchange contracts, except that Forrest may trade securities she owns through accounts in her name at a registered dealer, until July 10, 2027,
2. under section 161(1)(d)(i) and (ii) of the Act, that Forrest resign any position she holds as, and is prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager, permanently,
3. under section 161(1)(d)(iii) of the Act, that Forrest is prohibited from becoming or acting as a registrant, investment fund manager or promoter, permanently,
4. under section 161(1)(d)(iv) of the Act, that Forrest is prohibited from acting in a management or consultative capacity in connection with activities in the securities market, permanently,
5. under section 161(1(d)(v) of the Act, that Forrest is prohibited from engaging in investor relations activities, permanently.
¶ 5 After providing Weeks an opportunity to be heard, and considering staff’s submissions, and considering it to be in the public interest, we order:
- 1. under section 161(1)(b) of the Act, that Weeks cease trading in, and is prohibited from purchasing securities and exchange contracts, except that Weeks may trade securities she owns through accounts in her name at a registered dealer,
2. under section 161(1)(d)(i) and (ii) of the Act, that Weeks resign any position she holds as, and is prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager,
3. under section 161(1)(d)(iii) of the Act, that Weeks is prohibited from becoming or acting as a registrant, investment fund manager or promoter,
4. under section 161(1)(d)(iv) of the Act, that Weeks is prohibited from acting in a management or consultative capacity in connection with activities in the securities market,
5. under section 161(1(d)(v) of the Act, that Weeks is prohibited from engaging in investor relations activities,
until July 10, 2022.
¶ 6 After providing Regier an opportunity to be heard, and considering staff’s submissions, and considering it to be in the public interest, we order:
- 1. under section 161(1)(b) of the Act, that Regier cease trading in, and is prohibited from purchasing securities and exchange contracts, except that Regier may trade securities he owns through accounts in his name at a registered dealer, until July 10, 2027,
2. under section 161(1)(d)(i) and (ii) of the Act, that Regier resign any position he holds as, and is prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager, permanently,
3. under section 161(1)(d)(iii) of the Act, that Regier is prohibited from becoming or acting as a registrant, investment fund manager or promoter, permanently,
4. under section 161(1)(d)(iv) of the Act, that Regier is prohibited from acting in a management or consultative capacity in connection with activities in the securities market, permanently,
5. under section 161(1(d)(v) of the Act, that Regier is prohibited from engaging in investor relations activities, permanently.
¶ 8 For the Commission
- Brent W. Aitken
Vice Chair
Shelley C. Williams
Commissioner