Disciplined List
Stuart, Christopher Michael
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Date of Order or Settlement:
1999-10-26
Sanction:
- 5-year director/officer ban (BCSC)
- Permanent ban on acting in any compliance or supervisory position with a member of the Vancouver Stock Exchange or any successor exchanges
Supporting Documents:
Violation:
- Unregistered distribution (ASC)
- Failure to file insider reports (ASC)
- Failure to fulfill duties and responsibilities of a director (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$5,000 in costs (BCSC)
$100,000 plus $25,000 in costs (ASC)