Disciplined List

Mitton, Michael Lee

  • Date of Order or Settlement:

    2005-09-29

Sanction:

  • Permanent trading ban (2005)
  • Permanent denial of exemptions (2005)
  • Permanent director/officer ban (2005)
  • Permanent investor relations ban (2005)
  • 20-year trading ban (1988)
  • 20-year director/officer ban (1988)

Supporting Documents:

Violation:

  • Fraud (2005)
  • Unregistered advising (2005)
  • Unregistered trading (2005)
  • Illegal distribution (2005)
  • Making undeclared short sales (2005)
  • Breach of a Commission Order (2005)
  • Acting contrary to the public interest by manipulating the market (2005)
  • Stock Manipulation (1988)
  • Insider Trading (1988)
  • Failure to File Disclosure Documents (1998)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$250,000 plus $235,577.20 in costs (2005)

$5,000 in costs (1988)