Disciplined List

Rosiek, Dianne Sharon

  • Date of Order or Settlement:

    2009-10-22

Sanction:

  • Permanent trading ban
  • Permanent director/officer ban
  • Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
  • Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
  • Permanent investor relations ban

Supporting Documents:

Violation:

  • Fraud
  • Unregistered trading
  • Illegal distribution
  • Misrepresentation

Ruling Body:

BCSC

Payment Agreed/Ordered:

$16 million in disgorgement (Varied (Stayed) – January 15, 2018) and a $6 million administrative penalty