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Enforcement

Disciplined List

Maxwell, Don

  • Date of Order or Settlement:

    2011-08-30

  • Banned Until:

    2016-08-30

Sanction:

  • 5-year trading ban with conditions (2011)
  • 5-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)
  • 5-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (2011)
  • 5-year investor relations ban (2011)
  • 4-year director/officer ban (1996)

Supporting Documents:

Violation:

  • Unregistered trading (2011)
  • Unregistered trading (1996)
  • Unregistered distribution (1996)
  • Prohibited representations  (1996)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$2,000 (1996)

$7,000 (2011)