|
British Columbia - British Columbia Securities Commission
|
Date of Order or Settlement
|
January 25, 2010
|
|
Banned Until
|
|
|
Sanctions
|
Permanent ban from purchasing and trading in securities or exchange contracts (with conditions) Permanent director/officer ban
|
|
Payment Agreed/Ordered
|
|
|
Violations
|
Unregistered trading (NB) Failure to file a prosepectus (NB) Misrepresentations to investors (NB) Misrepresentations to staff (NB)
|
|
Supporting Documents
|
|
|
|
New Brunswick - New Brunswick Securities Commission
|
Date of Order or Settlement
|
April 03, 2009
|
|
Banned Until
|
|
|
Sanctions
|
permanently barring from trading in any securities other than those beneficially owned directly by Michael Cody permanently barred from becoming or acting as a director or officer of any issuer
|
|
Payment Agreed/Ordered
|
50,000
|
|
Violations
|
unregistered trading failure to file a prospectus misrepresentations to investors misrepresentations to staff
|
|
Supporting Documents
|
|
|
|
Date of Order or Settlement
|
April 10, 2008
|
|
Banned Until
|
|
|
Sanctions
|
cease trade in all securities exemptions in NB securities law do not apply
|
|
Payment Agreed/Ordered
|
|
|
Violations
|
unregistered trading failure to file a prospectus misrepresentations to investors misrepresentations to staff
|
|
Supporting Documents
|
|
|
|
Date of Order or Settlement
|
October 15, 2007
|
|
Banned Until
|
April 15, 2008
|
|
Sanctions
|
cease trade in all securities exemptions in NB securities law do not apply
|
|
Payment Agreed/Ordered
|
|
|
Violations
|
unregistered trading failure to file a prospectus misrepresentations to investors misrepresentations to staff
|
|
Supporting Documents
|
|
|