Disciplined List
Weeks, Carol
-
Date of Order or Settlement:
2009-04-22 -
Banned Until:
2022-07-10
Sanction:
- 15-year trading ban with conditions (BCSC)
- 15-year director/officer ban with conditions (BCSC)
- 15-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 15-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- 15-year investor relations ban (BCSC)
Supporting Documents:
Violation:
-
Fraud (ASC)
- Misrepresentations (ASC)
- Failure to file an offering memorandum and reports of distribution (ASC)
- Making false certificates in offering memoranda (ASC)
- Unregistered trading (ASC)
- Illegal distribution (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$65,000 plus $13,199.59 in costs (ASC)