Disciplined List
Seifert, Michael Lee
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Date of Order or Settlement:
1999-12-09 -
Banned Until:
2011-12-08
Sanction:
- 12-year trading ban with conditions
- 12-year director/officer ban
- 12-year investor relations ban
- An undertaking to not act as a filing solicitor for filings customarily made to the BCSC or to the Canadian Venture Exchange for a period of 12 years
- An undertaking to comply with the Securities Act, Securities Rules, and all applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Insider trading
- Failure to file insider reports
- Misrepresentations
- Failure to fulfill the duties and responsibilities of a director
Ruling Body:
BCSCPayment Agreed/Ordered:
$250,000 plus $200,000 in costs