Disciplined List
Simpson, David
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Date of Order or Settlement:
2009-01-30
Sanction:
- Permanent trading ban with conditions (BCSC)
- Permanent director/officer ban (BCSC)
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- Permanent ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- Permanent investor relations ban (BCSC)
Supporting Documents:
Violation:
- Illegal distribution (OSC)
- Acting contrary to the public interest (OSC)
Ruling Body:
BCSC, Ontario Securities Commission (OSC)Payment Agreed/Ordered:
$38,000 in costs (OSC)