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Enforcement

Disciplined List

Ross, Stanley Steven

  • Date of Order or Settlement:

    2007-03-09

  • Banned Until:

    2014-03-09

Sanction:

  • 7-year trading ban (2007) (BCSC)
  • 7-year director/officer ban with conditions (2007) (BCSC)
  • 7-year investor relations ban (2007) (BCSC)
  • An Order to comply fully with the Securities Act, the Securities Rules and any applicable regulations (2007) (BCSC)
  • 7-year trading ban with conditions (1999) (BCSC)
  • 7-year director/officer ban (1999) (BCSC)
  • 7-year investor relations ban (1999) (BCSC)
  • An undertaking to comply with the Securities Act (1999) (BCSC)

Supporting Documents:

Violation:

  • Unregistered trading (2007) (BCSC)
  • Acting contrary to the public interest  (1999) (BCSC)
  • Failure to disclose material facts (1999) (VSE)
  • Trading without written authorization (1999) (VSE)
  • Acting in violation of VSE By-Laws and Rules (1999) (VSE)

Ruling Body:

BCSC, Vancouver Stock Exchange (VSE)

Payment Agreed/Ordered:

$50,000 (2007) (BCSC)

 

$130,000 (1999) (VSE)

$135,000 disgorgment of profits (1999) (VSE)

$10,000 in costs (1999) (VSE)

Permanent removal of Exchange approval (1999) (VSE)