Disciplined List
Swift, Neil Russel
-
Date of Order or Settlement:
2004-03-08 -
Banned Until:
2007-03-08
Sanction:
- 3-year trading ban with conditions
- 3-year director/officer ban with conditions
- An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelnes
Supporting Documents:
Violation:
- Failure to file insider reports
- Misrepresentations
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000 in costs