Location:

Surrey

Charges:

1 Count - Fraud - Securities Act s.57(b) / s.155(1)(b)
1 Count - Failure to comply with a Commission Order - Securities Act s.155(1)(c)
1 Count - Trading without registration - Securities Act s.34(1)(a) / s.155(1)(b)
1 Count - Advising without registration - Securities Act s.34(1)(b) / s.155(1)(b)
1 Count - Distributing a security without a prospectus - Securities Act s.61(1)(a) / s.155(1)(b)

Sentence:

• Jail: 2 years
• Restitution: $240,850

Supporting Documents:

None