Enforcement

Disciplined List

Smithson, Bradley D.

Date of Order or Settlement:

2001-03-20
Banned Until:

2002-03-20

Sanction:

1-year trading ban with conditions
An undertaking to pass the Securities Program offered by Simon Fraser University through its Applied Business Program, which consists of the Going Public and Continuous Disclosure courses
An undertaking to comply with the requirements of the Securities Act, Securities Rules and all applicable regulations, policies and guidelines

Supporting Documents:

Settlement/Order

Violation:

Failure to file insider reports

Ruling Body:

BCSC

Payment Agreed/Ordered:

$4,000 plus $3,500 in costs