Disciplined Persons List

Ciochetti, Dale William

07 Jul 1995;

10-year trading ban
10-year director/officer ban
3 years imprisonment (Court)
Withdrawal of Exchange Approval (VSE)
An undertaking not to apply for Exchange Approval until January 1, 1989 (VSE)

Clarke, Steven

19 Mar 1999;

An undertaking to comply with the Securities Act

Claxton, Arthur Edgar

04 Nov 1996;

1-year restriction on license to trading (restricted to mutual funds with conditions - See Settlement/Order)
4-year director/officer ban

Kamerling, Beverly (aka Beverlee Patricia Claydon)

07 Apr 2008;

Permanent trading ban with conditions (2008)
Permanent director/officer ban (2008)
Permanent ban from becoming or acting as a registrant, investment fund manager or promoter (2008)
Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market (2008)
Permanent investor relations ban (2008)
10-year trading ban (1989)
10-year director/officer ban (1989)

Maradei, Mark

22 Mar 2001;

20-year trading ban
20-year director/officer ban
20-year investor relations ban

Marinus, Marguerite Marie France

26 Oct 1999;

3-year trading ban
3-year director/officer ban
3-year investor relations ban

Clemiss, Arthur

14 May 1992;

An undertaking to comply with the Securities Act

Markham, Ronald Victor

07 Feb 1997;

Lifetime trading ban
Lifetime director/officer ban

Mason, Derek Duncan

20 Feb 1996;

20-year trading ban
20-year director/officer ban with conditions

Clunn, Edward Morgan

09 Nov 1994;

20-year trading ban
20-year director/officer ban

Mason, Douglas Laurence

25 Aug 2004;

1-year trading ban with conditions
1-year director/officer ban with conditions
1-year investor relations ban with conditions

Mason, Joseph

17 Apr 1990;

2-year trading ban
5-year director/officer ban

Colledge, James R. K.

25 Feb 1999;

2-year trading ban with conditions
2-year director/officer ban

Maxwell, Don

30 Aug 2011;

5-year trading ban with conditions (2011)
5-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)
5-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (2011)
5-year investor relations ban (2011)
4-year director/officer ban (1996)

McClay, Brian

16 Mar 2000;

3-year trading ban
3-year director/officer ban (with conditions)
An undertaking to comply with the Securities Act

McDonagh, William Lawrence

08 May 1989;

2-year director officer ban

McDougall, Darren

25 Apr 1995;

An undertaking to comply with the Securities Act

McKenzie, Robert John

08 May 2001;

15-year trading ban with conditions
15-year director/officer ban with conditions
15-year investor relations ban with conditions

McKinney, Katheryn Elizabeth L.

20 Jul 1993;

25-year trading ban with conditions (BCSC)
25-year director/officer ban with conditions (BCSC)
Lifetime trading ban (ASC)

Conn, Ronald James

07 Feb 1997;

15-year trading ban
15-year director/officer ban

McLean, Ernest John V.

19 Mar 1998;

5-year trading ban
5-year director/officer ban

McLean, Robert Douglas

05 May 2003;

5-year trading ban with conditions
5-year director/officer ban with conditions

Cooper, Gary Wayne

19 Dec 1989;

25-year trading ban
25-year director/officer ban

Cormack, Gordon

16 Jul 1992;

5-year trading ban
12-year director/officer ban with conditions

Cox, Peter

21 Apr 1995;

4-year trading ban
4-year director/officer ban

Craig, Ronald J.

28 Dec 1995;

4-year trading ban with conditions
4-year director/officer ban

Cramer, Mark Clarence

23 May 2003;

12-year trading ban with conditions
12-year director/officer ban with conditions
12-year investor relations ban with conditions

Cramer, Michael John

23 May 2003;

12-year trading ban with conditions (2003)
12-year director/officer ban with conditions (2003)
12-year investor relations ban (2003)
An undertaking to comply with the Securities Act (1997)

Crimeni, Marc Paul

15 Dec 1997;

2-year director/officer ban (with conditions)
2-year investor relations ban

Crocker, Barry

22 Apr 2002;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban

Croft, Thomas Landon

22 Mar 2001;

8-year trading ban
8-year director/officer ban
8-year investor relation ban
An undertaking to complete a course satisfactory to the Executive Director concerning the duties of officers and directors of public companies in this jurisdiction

McLean, Roderick A.

16 Mar 2001;

Banned Until: Until conditions are met
Indefinite director/officer ban with conditions
An undertaking to complete a course of study satisfactory to the Executive Director concerning public companies and the duties and responsibilities of directors and officers of public companies
An undertaking not to seek registration in any capacity for 3 months

McLoughlin, John Arthur Roche

29 Apr 2011;

15-year trading ban with conditions (2011)
15-year denial of exemptions (2011)
15-year director/officer ban (2011)
15-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)
15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2011)
15-year investor relations ban (2011)
Indefinite trading ban with conditions (2001)
Indefinite denial of exemptions (2001)
Indefinite director/officer ban (2001)
An undertaking to comply with the Securities Act, the Securities Rules and all applicable regulations, policies and guidelines (2001)
An undertaking to offer a refund to each of the investors (2001)

McLoughlin, Michael

14 May 1992;

15-year trading ban (BCSC)
15-year director/officer ban (BCSC)

McMillan, Hugh Alexander

07 Aug 1997;

An undertaking to comply with the Securities Act

McNeilly, George

25 Apr 1995;

1-year director/officer ban with conditions

Currie, Donald Patrick

10 Nov 1998;

Until required documents are produced
Must produce required documents
Ongoing trading ban
Ongoing director/officer ban
Ongoing investor relations ban

Czinege, John

29 Apr 1992;

15-year director/officer ban

Davidson, Aaron David

14 Jun 1989;

5-year trading ban
5-year director officer ban

Defehr, Barry

27 Aug 1992;

An undertaking to comply with the Securities Act

McPherson, Robin J.

22 Mar 2001;

20-year trading ban
20-year director/officer ban
20-year investor relations ban

Delisle, Del Michel Albert

17 Jul 2001;

6-year trading ban with conditions (2005)
6-year director/officer ban (2005)
6-year investor relations ban (2005)
An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines (2005)
18 month trading ban with conditions (2001)
18 month director/officer ban with conditions (2001)
18 month investor relations ban (2001)

Meiteen, Allan

29 Aug 1989;

6-month director/officer ban

Mellios, Aristedes

18 Mar 1996;

Reprimanded
As a condition of any future registration MELLIOS must take and pass the course or examination required for his category of registration, even if he had completed the course or examination prior to the date of the decision

Merkelbag, Hans

21 Jun 1991;

An undertaking to ensure compliance in the future (see Settlement/Order)

Meunier, Victor J.

04 Jun 1993;

25-year trading ban
25-year director/officer ban

Michie, Alexander

12 Jan 1990;

18 month trading ban
18 month director/officer ban

Middleton, Robert Stuart

05 Jan 1996;

3-year trading ban with conditions
3-year director/officer ban with conditions

Mileta, Zeljko

13 Mar 1989;

5-year trading ban
5-year director officer ban

Millar, Alexander W

10 Nov 1995;

2-year trading ban
Director/officer ban with conditions

Millar, Donna

10 Nov 1995;

2-year trading ban
2-year director/officer with ban

Mirgon, Annie

26 Feb 1991;

$1,000 in lieu of sanctions

Mirgon, Frank Herbert

26 Feb 1991;

$1,000 in lieu of sanctions

Mitrou, Teresa Inez Marie

10 Oct 2001;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban
An undertaking not to apply to work as a compliance

Mitton, Janet

01 Nov 1988;

20-year trading ban
20-year director/officer ban

Mitton, Michael Lee

29 Sep 2005;

Lifetime trading ban (2005)
Lifetime director/officer ban (2005)
Lifetime investor relations ban (2005)
20-year trading ban (1988)
20-year director/officer ban (1988)
4 years imprisonment (Court) (2000)

Molson, Glenn Owen

16 Mar 2000;

5-year trading ban with conditions
5-year director/officer ban with conditions
An undertaking to comply with the Securities Act

Monardo, Dominique Paul

30 Mar 1990;

See reference documents / Voir documents de référence

Montaldi, Douglas Victor

07 Mar 2003;

6-year trading ban with conditions
6-year director officer ban with conditions
6-year investor relations ban

Monterossa, Jose Alberto

20 Jun 2002;

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban with conditions
An undertaking not to apply for registration until 10 years after restitution has been made

Moore, Robert Emerson

13 Mar 1997;

5-year trading ban with conditions
5-year director/officer ban with conditions

Moran, Steve John

22 Mar 2001;

20-year trading ban
20-year director/officer ban
20-year investor relations ban

Morgan, Elizabeth Anne

14 May 1992;

15-year trading ban (BCSC)
15-year director/officer ban (BCSC)

Morrison, Donald J.

31 Jan 1990;

4-year trading ban with conditions
4-year director/officer ban

Moxon, Elizabeth Anne

21 Jan 2004;

5-year trading ban with conditions
5-year director/officer ban
5-year investor relations ban

Muir, Kenneth

25 May 1999;

30-day registration suspension plus 12 months of strict supervision

Muller, Hartmut

14 Oct 1992;

An undertaking to comply with the Securities Act

Murray, Robert

10 May 2002;

2-year trading ban with conditions
2-year director/officer ban with conditions
2-year investor relations ban

Musewald, Detlef

30 Apr 1993;

1-year trading ban
An order to comply with the Securities Act

Nast, Barbara Leanne

16 Dec 2002;

5-year trading ban with conditions
5-year director/officer ban
5-year investor relations ban
An undertaking to inform the BCSC of any personal name changes

Nesbitt, Frederick Maurice

16 Feb 1999;

3-year trading ban with conditions
An undertaking to comply with the Securities Act

Newsom, Donald

04 Apr 1995;

20-year trading ban
20-year director/officer ban

Newsom, Douglas

04 Apr 1995;

20-year trading ban
20-year director/officer ban

Newsom, Richard Frank John

04 Apr 1995;

25-year trading ban
25-year director/officer ban

Newton, James

18 Feb 1997;

3-year trading ban
3-year director/officer ban (with conditions)

Ng, Mau Chung

21 Aug 1996;

An undertaking to comply with the Securities Act
An order to cease trading in Forex Contracts until conditions are met

Nicholls, Paul J.

17 Mar 1989;

5-year trading ban
5-year director officer ban

Ogle, Floyd Leeland

01 May 1989;

15-year trading ban (BCSC)
15-year director/officer ban (BCSC)
3 years imprisonment (Provincial Court)

Ohashi, Theodore Masumi

17 Feb 1992;

An undertaking to comply with the requirements of the Securities Act, Securities Regulations and the policies of the BCSC

Ollenberger, Roger

21 Aug 2001;

8-year trading ban with conditions
8-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision

Deneny, Sean F

15 Jun 1990;

3-year trading ban
3-year director/officer ban

Dhaliwal, Ranbir Singh

12 Feb 2001;

6-year trading ban with conditions
6-year director/officer ban with conditions
6-year investor relations ban
An undertaking not to apply for registration for 6 years
Permanent withdrawal of Exchange approval (VSE)

Olsen, Michael Paul

22 Nov 1999;

Banned Until: November 22, 2009 (or 2014)
10 or 15 year trading ban depending upon fulfillment of conditions
10 or 15 year director/officer ban depending upon fulfillment of conditions
10 or 15 year investor relations ban depending upon fulfillment of conditions

Omelus, James Ronald

24 Nov 1999;

5-year registration ban
5-year trading ban
An undertaking to repay oustanding loans

Onishenko, Laurie Ann

14 May 2001;

5-year trading ban with conditions (BCSC and ASC)
5-year director/officer (BCSC and ASC)

Orloski, Bradley Jay

15 Jul 1992;

5-year trading ban with conditions
5-year director/officer ban

Orr, Frederick George

23 Nov 2001;

6-month trading ban with conditions

Ostensoe, Leif

25 Nov 1988;

1-year trading ban
1-year director/officer ban

Overmyer, Daniel

15 Jun 1990;

10-year trading ban
10-year director/officer ban

Overmyer, John

15 Jun 1990;

3-year trading ban
3-year director/officer ban

Dibenedetto, James J.

31 Mar 2000;

5-year director/officer ban with conditions
An undertaking to comply with the Securities Act
An undertaking to successfully complete an acceptable course regarding public companies, and the duties and responsibilities of directors and officers of public companies

Page, Lawrence

17 Dec 1990;

1-year trading ban (beginning July 18, 1994)

Dicimbriani, Alexander

17 Oct 1996;

25-year trading ban
25-year director/officer ban (with conditions)

Pajak, Andrew Michael

30 Mar 1990;

See reference documents / Voir documents de référence

Pancer, Alex

07 Jul 1992;

25-year trading ban
25-year director/officer ban

Dickman, Allan Arthur

03 Dec 2002;

5-year trading ban with conditions
5-year director/officer ban
5-year investor relations ban

Paterson, Gordon

21 Aug 2001;

5-year trading ban with conditions
5-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision

Patterson, David Michael

13 Oct 2000;

15-month trading ban
15-month director/officer ban
An undertaking to comply with the Securities Act

Patterson, Michael Kevin

19 Jun 2001;

5 months imprisonment and 1year supervised release (US Courts)

Diianni, Robert A.

14 Sep 2001;

Permanent trading ban (BCSC)
Permanent director/officer ban (BCSC)
Permanent investor relations ban (BCSC)
Banned from the securities industry (SEC)
42 months in prison (US District Court)
2 years in prison for violating probation (US Court of Appeals)

Perrett, Jon Brian

16 Oct 1997;

2-year trading ban
2-year director/officer ban with conditions

Perrin, Geoffrey Christopher

01 Apr 1997;

Six months strict supervision to follow any registration

Persiani, Claudio

31 Mar 2000;

10-year trading ban
10-year director/officer ban
10-year investor relations ban
6-month conditional sentence and 3 years probation (Courts)
3 and half year prohibition from buying, selling, or holding securities or cash for any other person in any company, on any stock market in Canada, or any private placement

Dion, Robert Ross Errol

07 Dec 1995;

20-year trading ban
20-year director officer ban
9 months incarceration (Courts)

Pessl, Tatjana

24 Aug 1993;

12-month trading ban (with conditions)
42-month director officer ban

Pezim, Murray

17 Dec 1990;

1-year trading ban (beginning July 18, 1994)

Pfeffer, John W.

24 Nov 2000;

6-month trading ban with conditions

Phillips, Steven

21 Jul 1998;

10-year trading ban
10-year director/officer ban

Dix, Gordon Jr.

25 Sep 2001;

10-year trading ban with conditions
10-year director/officer ban
10-year investor relations ban

Pierce, Gordon Brent

08 Jun 1993;

15-year trading ban
15-year director officer ban

Pinchin, Timothy James

11 Oct 1996;

25-year trading ban
25-year director/officer ban

Doman, Harbanse Singh.

14 Oct 1999;

10-year trading ban with conditions
10-year trading ban with conditions

Pinchin, Weldon McKenzie

17 Nov 1992;

An undertaking to comply with the Securities Act

Plumacher, Edward John

26 Jan 1998;

8-year trading ban
8-year director/officer ban with conditions
8-year investor relations ban

Pollock, Daryl Lorne

13 Jan 1992;

An undertaking to successfully complete, before June 1993, a course of study satisfactory to the Superintendent dealing with the duties and responsibilities of directors and officers of reporting issuer
An undertaking to ensure future compliance with applicable securities legislation and policies

Postles, Simon Gervaise William

22 Jul 1996;

1-year ban on trading in forex contracts with conditions

Potts, Eurrell Verster

17 Dec 1987;

20-year trading ban

Powley, Mary N.

31 Mar 2000;

1-year director/officer ban (with conditions)
An undertaking to comply with the Securities Act
An undertaking to successfully complete an acceptable course regarding public companies, and the duties and responsibilities of directors and officers of public companies

Price, George

08 Nov 2002;

5-year trading ban with conditions
5-year director/officer ban with conditions

Price, Leslie Philip

14 Aug 1988;

15-year trading ban
15-year director/officer ban

Price, William Alfred

14 Jun 1989;

5-year trading ban
5-year director officer ban

Prowse, Andrew Rutherford

19 Mar 2002;

18 month trading ban with conditions
18 month director/officer ban with conditions

Purdy, Kevin Richard

13 Jul 1989;

3-year trading ban
3-year director/officer ban

Pyper, John Terrance

10 May 2000;

5-year trading ban

Quinn, Paul Anthony

03 Jul 1992;

15-year trading ban
15-year director/officer ban

Rachfall, Dirk Alan

19 Jun 2001;

5 months imprisonment and 1year supervised release (US Courts)

Rak, Jerome

25 Nov 1988;

8-year trading ban
8-year director/officer ban

Randhawa, Devinder

08 Sep 1989;

3-months of supervision (1997)

Rast, Wilfred Lorne

05 Sep 2003;

30-year trading ban with conditions
30-year director officer ban
30-year investor relations ban
Permanently banned from registering under the Securities Act.
Three years incarceration (Provincial Court)

Redford, Leslie Robert

29 Jul 1996;

10-year trading ban
10-year director/officer ban

Regier, Lyle

25 Mar 1997;

3-year ban on registration (with conditions)

Rempel, John Henry

05 Sep 1995;

10-year trading ban
10-year director/officer ban

Rhodes, Edward

15 Feb 1996;

6-month trading ban
6-month director/officer ban (with conditions)

Richards, Alan

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Rieder, Hans Albert

28 Apr 1995;

2-year director/officer ban (with conditions)

Riepe, Rudolph

13 Mar 1989;

3-year trading ban with conditions
3-year director officer ban with conditions

Robinson, Douglas W.

25 Jan 2000;

15-year trading ban
15-year director/officer ban
15-year investor relations ban
5 years of strict supervision of his activities as a Registrant (see Settlement/Order)

Roeder, John Walter Scott

04 Apr 1995;

17-year trading ban
17-year director/officer ban

Rosado-Ferrer, Leandro Guillermo

12 Aug 1996;

3-year trading ban (with conditions)
3-year director/officer ban (with conditions)

Rosado-Machain, Leandro Guillermo

11 Jun 1996;

1-year trading ban
1-year director/officer ban

Ross, Nicholas Michael

06 Feb 1995;

3-year trading ban
3-year director/officer ban

Ross, Stanley Steven

09 Mar 2007;

7-year trading ban (2007)
7-year director/officer ban with conditions (2007)
7-year investor relations ban (2007)
An Order to comply fully with the Securities Act, the Securities Rules and regulations (2007)
7-year trading ban with conditions (1999)
7-year director/officer ban (1999)
7-year investor relations ban (1999)
An undertaking to comply with the Securities Act (1999)

Ryan, James Elias

21 Dec 1990;

5-year director/officer ban

Ryckman, Lawrence Gilbert

13 Sep 1996;

18-year trading ban
18-year director/officer ban

Donas, Robert Anthony

04 Apr 1995;

1-year trading ban

Dowling, Michael John

06 May 2002;

5-year director/officer ban with conditions
2-year investor relations ban

Drescher, Anton Johann

17 Dec 1987;

2-year trading ban with conditions

Dunn, Bruce P.

07 Dec 1998;

2-year trading ban
2-year director/officer ban with conditions
2-year investor relations ban

Dupuis, John

02 Feb 1991;

An undertaking to have regular consultations respecting disclosure matters (see Settlement/Order)

Durward, James Morris

13 May 1993;

1-year trading ban (1990)
30-day trading ban (1993)

Dyck, John B

18 Feb 1992;

2-year director/officer ban

Eckenweiler, Brad

12 Jun 1991;

2-year director officer ban with conditions

Edgar, Douglas Michael

09 Jan 2001;

10-year trading ban with exceptions
10-year director/officer ban with exceptions
10-year investor relations ban
4 months imprisonment (Court)

Edgell, David K

26 Feb 1993;

1-year trading ban
6-year director officer ban with conditions

Edwardson, Narvin Wray

01 May 2002;

Indefinite trading ban
Indefinite director/officer ban
Indefinite investor relations ban

Ekren, Chad Raymond

01 Apr 1997;

Six months strict supervision

Ellis, Brian Jonathan

02 Oct 2001;

1-year trading ban with conditions

Ellison, David Victor

13 Oct 1993;

2-year trading ban
2-year director/officer ban

Ellwyn, Venessa

08 Jun 1993;

5-year trading ban
5-year director officer ban

Eng, Jeffrey Dansill

28 Feb 2000;

An undertaking to comply with the Securities Act
6-month director/officer ban (with conditions)
6-month investor relations ban

Enns, Michael Conn

22 Apr 2003;

5-year trading ban
5-year director/officer ban
5-year investor relations ban

Sanderson, Alastair

21 Aug 2001;

8-year trading ban with conditions
8-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision

Erickson, Kenneth Arthur

14 Dec 1999;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Sasseville, Raymond Michael Roger

15 Apr 2003;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban

Savics, Eric

09 Apr 1999;

See reference documents / Voir documents de référence

Sawchuk, Kerry John

04 Mar 1992;

Indefinite trading ban (1992 Order revoked 2007-07-23)
Indefinite director/officer ban (1992 Order revoked 2007-07-23)

Sawyer, Leslie

01 Nov 1989;

2-year trading ban
10-year director/officer ban

Faulkner, Harry Claude

27 May 1994;

15-year trading ban
15-year director/officer ban

Fedun, Gregory Robert

17 Feb 2004;

1-year trading ban with conditions
Banned from being a director/officer of a reporting issuer until the successful completion of an acceptable course of study (with conditions)

Scharfe, Bradley Nixon

21 Jan 2004;

2-years restricted trading and purchasing of securities
An undertaking not to apply for registration for at least 2 years and only after the successful completion of an acceptable course of study

Schepannek, Carl Wolfgang

30 Nov 1993;

8-year trading ban
8-year director/officer ban

Schiller, Betty

12 Oct 2000;

15-year trading ban
15-year director/officer ban
15-year investor relations ban

Schiller, Paul

12 Oct 2000;

15-year trading ban
15-year director/officer ban
15-year investor relations ban

Schmidt, Wolfgang

14 Oct 1992;

An undertaking to comply with the Securities Act

Scott, Elford

19 Dec 1989;

12-year trading ban
12-year director/officer ban

Seifert, Michael Lee

09 Dec 1999;

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

Sekora, Percy Ellison

14 Mar 2001;

7-year trading ban with conditions (BCSC and ASC)
7-year director/officer ban (BCSC and ASC)
An undertaking not to apply for registration for 7 years

Fenner, Richard

22 Feb 2001;

6 month trading ban
6 month investor relations ban
Banned from being officer/director until a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers is completed
An undertaking to present all investors with a copy of the Settlement and an offer of the right to a refund

Fikkert, Jan Frederick

29 Jun 1994;

6-year trading ban
6-year director/officer ban
6 months imprisonment (Courts)

Fisher, Daniel William

18 Sep 1998;

15-year trading ban
15-year director/officer ban
15-year investors relations ban

Shafransky, Gregory

19 Dec 1989;

2-year trading ban
2-year director/officer ban

Fisher, John W

09 Oct 1997;

2-year director/officer ban

Sharan, Rahoul

13 Jan 1992;

Successful completion, before June 1993, of a course of study satisfactory to the Superintendent dealing with the duties and responsibilities of directors and officers of reporting issuer
An undertaking to ensure future compliance with applicable securities legislation and policies

Fleischhacker, Peter

14 Oct 1992;

An undertaking to comply with the Securities Act

Shaw, Michael James

16 Feb 1999;

1-year trading ban

Shum, David Yan Sum

04 Dec 1997;

20-year trading ban
20-year director/officer ban
20-year investor relations ban

Flynn, Michael James

21 Aug 2001;

8-year trading ban with conditions
8-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act, including training and strict supervision provisions

Siega, Albert Dan

25 Mar 1997;

10-year trading ban
10-year director/officer ban

Foerster, Bruce Russell

02 May 1997;

15-year trading ban
15-year director/officer ban
15-year investor relations ban

Simon, Peter Hans

21 May 2002;

10-year trading ban with conditions (BCSC)
10-year director/ban with conditions (BCSC)
10-year investor relations ban with conditions (BCSC)
60 days imprisonment (Court)

Fortin, James Rodney

14 May 2003;

7-year trading ban with conditions
7-year director/officer ban
7-year investor relations ban

Simon, Sybille Anita

21 May 2002;

10-year trading ban with conditions (BCSC)
10-year director/ban with conditions (BCSC)
10-year investor relations ban with conditions (BCSC)
60 days imprisonment (Court)

Simons, Montague

19 Dec 1989;

12-year trading ban
12-year director/officer ban

Foster, David J.

07 Jul 1992;

25-year trading ban (BCSC)
25-year director/officer ban (BCSC)
Permanent cancellation of registration (OSC)

Simpson, Ralph Albert Andison

03 Jul 1992;

10-year trading ban
10-year director/officer ban

Sinclair, James

22 Jul 1998;

An undertaking to comply with the Securities Act

Foster, Mark Webster Vaughan

13 May 2002;

12-year trading ban with conditions
12-year director/officer ban with conditions
12-year investor relations ban with conditions

Sinclaire, Rob

15 Apr 1997;

Six months of strict supervision following any registration

Sirianni, Eugenio

04 Oct 1991;

15-year trading ban
15-year director/officer ban

Fox, Peter E.

14 Jan 1997;

5-year trading ban with conditions
5-year director/officer ban with conditions

Sirianni, Francesco

04 Oct 1991;

15-year trading ban
15-year director/officer ban

Sivertson, Ralph A.

25 Jan 2000;

15-year trading ban
15-year director officer ban
15-year investor relations ban

Friesen, David

30 Dec 1992;

10-year trading ban (BCSC)
10-year director/officer ban (BCSC)
Permanent trading ban with conditions (OSC)

Skelly, Jean-Marie

16 Dec 2002;

5-year trading ban with conditions
5-year director/officer ban
5-year investor relations ban
An undertaking to inform the BCSC of any personal name changes

Skimming, Thomas

15 Feb 1996;

2-year trading ban
2-year director/officer ban (with conditions)

Sklar, Gerald Emile

18 Sep 1989;

3-year trading ban
3-year director officer ban

Slightham, George Stephen

02 Jun 1995;

25-year trading ban
25-year director/officer ban

Slobogian, Brian

16 Feb 2000;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Smith, Carol Ann

10 Oct 1989;

5-year trading ban
5-year director/officer ban

Smith, Richard James Albert

29 Mar 2004;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban
An undertaking not to apply for registration for 3 years from the date of the Order

Friesen, Irene Rose

14 Nov 2001;

10-year ban on serving as a Compliance Officer
2-year from serving as a partner, director or officer, other than a compliance officer, of any registrant
2-year ban from trading or advising in exempt securities with conditions
6 months of strict supervision following any new registration under the Securities Act

Smith, Richard John

27 Jul 2004;

Permanent trading ban (BCSC/OSC)
Permanent director/officer ban with conditions
Permanent investor relations ban

Smith, William Neil

10 Oct 1989;

5-year trading ban
5-year director/officer ban

Smithson, Bradley D.

20 Mar 2001;

1-year trading ban with conditions
An undertaking to pass the Securities Program offered by Simon Fraser University through its Applied Business Program, which consists of the Going Public and Continuous Disclosure courses

Sowemimo, Abiodun Sofoluwe

12 Jul 2001;

10-year trading ban with conditions
10-year director/officer ban
10-year investor relations ban
An undertaking not to seek registration under the Securities Act for 10 years

Friesen, Jacob Norman

14 Nov 2001;

10-year ban on serving as a Compliance Officer
6 months of strict supervision by his employer
5-year from serving as a partner, director or officer, other than a compliance officer, of any registrant
5-year ban from trading or advising in exempt securities with conditions
6 months of strict supervision following any new registration under the Securities Act

Specogna, Efrem Mario Maurizio

29 Feb 1996;

4-year trading ban
Banned from being a director or officer of a reporting issuer until he has has successfully completed a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers

Specogna, Lucia

28 Feb 1996;

1-year trading ban
Banned from being a director or officer of a reporting issuer until she has has successfully completed a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers

Specogna, Marino John Ignatius

29 Feb 1996;

20-year trading ban
20-year director officer ban with conditions

Speiss, Richard Thomas

26 Mar 1992;

3-month trading ban

Spitz, Denise

07 Jul 1992;

5-year trading ban
8-year director/officer ban
An undertaking to successfully complete a course of study satisfactory to the Superintendent concerning the duties and responsibilities of directors and officers prior to becoming or acting as a director, officer or promoter of any reporting issuer.

Friesen, Katherine

30 Dec 1992;

10-year trading ban (BCSC)
10-year director/officer ban (BCSC)
Permanent trading ban with conditions (OSC)

Stang, Bernard Ethelbert

04 Apr 1995;

3-year director/officer ban

Stanhiser, Gary

20 Mar 2000;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Friesen, Leonard William

08 Nov 2002;

2-year trading ban with conditions
Not eligible for registration under the Securities Act until the later of 2 years and the date that all requirements have been met and the Canadian Securities Course has been successfully completed.
1 year of strict supervision following any registration under the Securities Act.

Friesen, Robert Arthur

30 Dec 1992;

10-year trading ban (BCSC)
10-year director/officer ban (BCSC)
Permanent trading ban with conditions (OSC)

Friesen, William David

14 Jul 1999;

An undertaking to comply with the Securities Act

Furrer, Richard

18 Nov 1997;

3-year director/officer ban
3 -year investor relations ban

Steffensen, Gunter

25 Feb 2000;

3-year trading ban (with conditions)
3-year director/officer ban (with conditions)

Steinart, David

30 Oct 2002;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban

Stenner, Paul Anthony

20 Jan 1998;

1 year in prison (Courts)
30-year trading ban
30-year director officer ban
30-year investor relations ban

Gabor, Andrew

04 Mar 1999;

Temporary trading ban (revoked February, 2000)
Temporary director/officer ban (revoked February, 2000)

Stevenson, Malcolm Cameron Boyd

20 Feb 2008;

Permanent trading ban (2008)
Permanent director/officer ban (2008)
Permanent ban from being registered under the Securities Act (2008)
Permanent ban from being an investment fund manager or promoter (2008)
Permanent investor relations ban (2008)
3-year trading ban with conditions (2002)
1-year director/officer ban with conditions (2002)

Gannon, Kathryn Barbara

27 Jun 2000;

Temporary director/officer ban until the disposition of cases involving the SEC
An undertaking to comply with trading restrictions

Stirling, John Murray

16 Feb 1994;

1-year trading ban
5-year director/officer ban

Stickley, Douglas Russell

01 May 1998;

4 month ban from selling mutual funds with conditions plus
2 years close supervision

Stirrett, Dwight Allen

07 Dec 1999;

An undertaking to comply with the Securities Act
An undertaking to successfully complete the Partners, Directors and Senior Officers Qualifying Examination, as offered by The Canadian Securities Institute, by December 31, 2000

Stojak, Patrick Thomas

17 Jun 2004;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban

Stone, David Howard

17 Jan 2003;

4-year trading ban (with conditions)
4-year director/officer ban (with conditions)

Garrod, Randall Kane

26 Oct 2001;

30 days imprisonment and 90 days probation (Courts)
5-year trading ban (BCSC)
5-year director/officer ban (BCSC)
5-year investor relations ban (BCSC)

Stone, Malcolm Richard

29 Mar 1996;

15-year trading ban
15-year director/officer ban with conditions

Stopsen, Faron Arvid

10 Dec 1991;

9 1/2-year trading ban (BCSC)
9 1/2-year director/officer ban (BCSC)
18 months imprisonment (Courts)

Stratton, Donald R.

25 Nov 1988;

1-year trading ban
1-year director/officer ban

Gartland, Douglas James

07 Jan 2000;

An undertaking to comply with the Securities Act
An undertaking to sucessfully complete the Partners, Directors and Senior Officers Qualifying Examination by December 31, 2000

Stuart, Christopher Michael

26 Oct 1999;

5-year director/officer ban (BCSC and ASC)
Lifetime ban on acting in a Compliance position with a member of the Vancouver Stock Exchange, the Alberta Stock Exchange or any successor exchanges

Stuart, D Charles

14 Jun 1989;

15-year trading ban
15-year director officer ban

Gibbons, Kerry Wayne

21 Apr 1998;

15-year ban from selling securities with conditions
1-year of close supervision following any new registration to sell securities

Sturtz, Reinhold

14 Oct 1992;

An undertaking to comply with the Securities Act

Sutcliffe, Donald John

06 Mar 2000;

6-month director/officer ban (with conditions)
6-month investor relations ban

Swanney, James

30 Oct 2002;

15-year trading ban
15-year director/officer ban with conditions
15-year investor relations ban

Swift, Neil Russel

08 Mar 2004;

3-year trading ban with conditions
3-year director/officer ban with conditions

Tamaki, Michael

12 Dec 1995;

Registration suspended for 6-months with conditions

Tang, David

22 Jul 1994;

5-year trading ban (with conditions)
5-year director/officer ban (with conditions)

Tatham, Peter C.

12 Nov 1998;

5-year trading ban
2-year director officer ban

Teo, Allister K

15 Jun 2000;

An undertaking to comply with the Securities Act

Thachuk, Jefferson T.

17 Jul 1998;

3-year director/officer ban with conditions

Thachuk, Michael Delmor

17 Jul 1998;

1-year director/officer ban with conditions

Thomas, David Walford

18 Dec 2000;

4-year trading ban with conditions
4-year director/officer ban with conditions
4-year investor relations ban

Thompson, Veryan Elizabeth

04 Apr 1995;

3-year director/officer ban

Thuot, John

28 Jun 2000;

Banned from trading until Order revoked - (Order revoked August 27, 2001)

Tildesley, Murray

31 Aug 2001;

10 month trading ban with conditions
10 month director/officer ban with conditions

Tinkler, Leonard E.

21 Apr 1995;

15-year trading ban
15-year director/officer ban

Tisserand, Troy

22 Jul 1996;

An undertaking to comply with the Securities Act
An Order cease trading in Forex contracts (see Settlement/Order)

Tong, Richard

27 Mar 1996;

5-year trading ban
5-year director/officer ban (with conditions)

Tranter, Peter Oliver

29 Jul 1996;

20-year trading ban
20-year director/officer ban (with conditions)

Tremain, Gordon

22 Oct 2002;

3-year trading ban with conditions
3-year director/officer ban with conditions

Trociuk, Kenneth William

18 Feb 2004;

4-year trading ban with conditions
4-year director/officer ban with conditions

Tuijthof, Adrienne

22 Oct 1997;

15-year trading ban
15-year director/officer ban with conditions
15-year investor relations ban

Turcotte, Gerald Henry

03 Jun 1997;

20-year trading ban with conditions
20-year director/officer ban with conditions
Lifetime ban (SSC)

Van Der Weij, Jan H

09 Oct 1997;

2-year director/officer ban with conditions
6-month trading ban

Van Samang, Theodorus Gerardus

17 Sep 1997;

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban

Vaughan, David John

22 Oct 2009;

1-year trading ban with conditions (1999)
Permanent ban from purchasing and trading in securities or exchange contracts (2009)
Permanent director/officer ban (2009)
Permanent ban from becoming or acting as a registrant, investment fund manager or promoter (2009)
Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market (2009)
Permanent investor relations ban (2009)

Voong, Robert Mah Shing

06 May 1993;

25-year trading ban
25-year director/officer ban

Waage, Alyn Richard

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Waage, Cary Alyn

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Wall, Bruno

14 Apr 1998;

An undertaking to take a satisfactory course of study on the duties and responsiblities of directors and officers of public companies within one year.

Walter, Wilhelm Herbert

13 Apr 1991;

5-year trading ban (BCSC)
10-year director ban (BCSC)
6-year imprisonment (Courts)

Warke, Richard William

28 Nov 1989;

See reference documents / Voir documents de référence

Warke, William Benton

21 Jul 1993;

1-year trading ban
An Order to comply with the Securities Act
An undertaking to complete a satisfactory course of study by June 30, 1994

Watson, Mackenzie Iles

29 Jul 1996;

Banned Until - An acceptable course of study is completed
An undertaking to successfully complete a course of study on the duties of corporate directors (See Decisions)

Watt, Robert Alfred

17 Jul 1989;

1-year director/officer ban

Weatherell, Jack

12 Sep 2000;

12-year trading ban
12-year director/officer ban (with conditions)
12-year investor relations ban

Webb, James Michael

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Weisdorn, Lawrence Erwin

05 Dec 1988;

4-year trading ban
4-year director officer ban

Wenzel, Leo

14 Oct 1992;

An undertaking to comply with the Securities Act

West, Roger James Joseph

12 Jun 1991;

2-year trading ban

White, Glen Elmo

28 Nov 2000;

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban

Whiting, Cora Amelia

12 Jan 1990;

2-year director/officer ban with conditions

Whiting, Francis Beaumont

12 Jan 1990;

3-year director/officer ban with conditions

Whorley, Donald Lynn

18 Feb 1997;

5-year trading ban (1993)
5-year director/officer ban (1993)
15-year trading ban (1997)
15-year director/officer ban with conditions (1997)

Wiebe, Charles

04 Feb 2004;

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban

Wiebe, Roy Allen

03 Dec 2002;

An undertaking to comply with the Securities Act

Wied, James Albert

24 Apr 1998;

12 months of strict supervision following any registration

Wiercinski, Stephanie

14 Oct 1992;

An undertaking to comply with the Securities Act

Williams, Byron Leslie

19 Dec 1989;

12-year trading ban
12-year director/officer ban

Williams, Dean J.

12 Jan 1990;

18 month trading ban
18 month director/officer ban

Williams, John Phillip McKenzie

18 Mar 1996;

Banned Until: Until fulfillment of conditions
Reprimanded
As a condition of any future registration WILLIAMS must take and pass the course or examination required for his category of registration, even if he had completed the course or examination prior to the date of this decision

Williams, Regan Michael

12 Jan 1990;

5-year trading ban (Amanda and Bateaux Resources)
5-year director/officer ban (Amanda and Bateaux Resources)

Giesbrecht, Cornelius Richard

15 Feb 1996;

5-year trading ban
5-year director/officer ban

Gill, Barry Sher

22 Oct 1997;

25-year trading ban
25-year director/officer ban
25-year investor relations ban

Gill, Bharpur Singh

22 Sep 1999;

An undertaking not to trade any securities under a registration and prospectus exemption except from his own account (with conditions)

Gill, Khem Singh

23 Apr 2003;

20-year trading ban with conditions (2003)
20-year director officer ban with conditions (2003)
20-year investor relations ban with conditions (2003)
Imprisonment and parole (Court 2003)
2-year trading ban (1991)
2-year director/officer ban (1991)

Gill, Nirbhia Singh

17 May 2001;

8-year trading ban with conditions
8-year director/officer ban with conditions
8-year investor relations ban

Gladu, Rene Joseph

19 Mar 1999;

An undertaking to comply with the Securities Act

Gleeson, Patrick Joseph

04 Dec 1998;

2-year trading ban with conditions
2-year director/officer ban

Glover, James Walter

14 Sep 1999;

6-month director/officer ban
6-month investor relations ban
An undertaking to successfully complete a recognized course of study on the duties and responsibilities of direcotrs and officers of public companies

Goetz, Adrien

04 Mar 1999;

Temporary trading ban (revoked February, 2000)
Temporary director/officer ban (revoked February, 2000)

Goldman, Mark

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Gooder, Stephen Ross

05 Dec 1989;

3-month suspension of registration as a mutual fund salesman

Gordic, Mijodrag

19 Sep 1997;

1-year director/officer ban

Gordon, Robert Paul

09 Jul 1991;

1-year director/officer ban

Gordon-Carmichael, Donald Brian

08 Nov 2002;

2-year trading ban with conditions (2002)
Not eligible for registration under the Securities Act until all requirements have been met and the Canadian Securities Course has been successfully completed (2002)

Gow, George

10 May 2002;

2-year trading ban with conditions
2-year director/officer ban with conditions
2-year investor relations ban

Gray, Gerald Edward

30 Dec 1998;

4-year trading ban with conditions
4-year director officer ban with conditions

Gray, Renee Elizabeth

03 Feb 1993;

An undertaking to comply with the Securities Act

Greenwald, Jay Robin

19 May 1994;

15-year trading ban
15-year director/officer ban

Greenwald, Steven Jeffrey

19 May 1994;

20-year trading ban
20-year director/officer ban

Groat, Paul Kevin

02 Feb 1989;

1-year trading ban

Guerrini, Adamo

04 Dec 2001;

One day in jail (Court)
5-year trading ban with conditions (BCSC)
5-year director/officer ban (BCSC)
5-year investor relations ban (BCSC)

Haarlem, Alex

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Haggerty, Jack

14 Apr 1998;

See reference documents / Voir documents de référence

Hagopian, Derair N. "Richard"

06 Nov 1991;

An undertaking to take a satisfactory course of study prior to 1993 and to ensure future compliance (see Settlement/Order)

Hamelin, Maurice

22 Nov 1991;

20-year trading ban
20-year director/officer ban

Hanrahan, Debbie

21 Aug 2001;

5-year trading ban with conditions
5-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision

Hansen, Robert John

23 Aug 1996;

An undertaking to comply with the Securities Act

Hansen, Wayne A.

15 May 2002;

8-year trading ban with conditions
8-year director/officer ban with conditions
8-year investor relations ban

Hansen, Wayne Keith

10 Apr 1992;

Indefinite trading ban
Indefinite director/officer ban

Harder, Glen David

12 Aug 1994;

2-year trading ban
2-year director/officer ban

Hargitai, G. Gerry

29 Apr 1992;

25-year trading ban
25-year director/officer ban

Harper, Glen Harvey

28 Jul 2004;

15-year trading ban with conditions
15-year director/officer ban
6 months imprisonment (Court)

Harris, Douglas R. G.

10 Mar 1989;

25-year trading ban
25-year director/officer ban

Harris, Richard

30 Jan 2004;

Permanent trading ban (2004)
Permanent director/officer ban (2004)
Permanent investor relations ban (2004)
10-year trading ban (2000)
10-year director/officer ban (2000)
10-year investor relations ban (2000)

Harrison, Craig

22 Nov 1991;

10-year trading ban
10-year director/officer ban

Hartvikson, Robert Arthur

01 Jun 2001;

1-year trading ban with conditions
1-year director/officer ban with conditions

Hauchecorne, Jean-Claude

01 Aug 2000;

20-year trading ban
20-year director/officer ban
Permanently ban from being a broker (CDNX)

Hazlett, Linda Margaret

06 Jul 1995;

5-year trading ban
5-year director/officer ban
1 year imprisonment (Courts)

Heise-Steele, Sherry Lynne

09 Sep 1992;

An undertaking to comply with the Securities Act

Helsel, Frederick David

28 Apr 1992;

5-year trading ban
5-year director/officer ban

Hemingson, Errol

25 Jul 1991;

20-year trading ban
20-year director/officer ban with conditions

Hemingson, Margaret Alexa

25 Jul 1991;

10-year trading ban
10-year director/officer ban with conditions

Herar, Bhupinder Singh

15 Oct 2003;

3-year director/officer ban

Herndl, Max

22 Dec 1994;

An undertaking to issue an amended Offering Agreement and to offer investors the right of rescission
An undertaking to comply with the Securities Act and associated Rules and Regluations

Hetzer, Arthur M.

15 Feb 1996;

Trading ban with conditions
Director/officer ban with conditions

Hilberger, Jurgen

14 Oct 1992;

An undertaking to comply with the Securities Act

Hirsch, Veronika

04 Nov 1997;

See reference documents / Voir documents de référence

Ho, Philip Y

25 Mar 1997;

3-year trading ban
3-year director/officer ban

Hobkirk, Adrian F.C.

24 Jun 1999;

6-month trading ban with conditions

Hoehn, Walter

02 Feb 1993;

An undertaking to comply with the Securities Act

Hoffman, Dale

25 Feb 1999;

An undertaking to comply with the Securities Act

Hoffman, Sheldon

10 Nov 1995;

2-year trading ban
Banned from serving as a director/officer until condition have been met

Hofman, Fred Siebolt Sr.

16 Mar 1989;

5-year trading ban (with conditions)
Permanently banned from having trading authority over the accounts of clients
Permanently banned from recommending the securities of specific exchange issuers to clients

Hogan, Jesse J.

20 Sep 2002;

10-year trading ban
10-year investor relations ban

Holoboff, Mervin Derrick

20 Jul 1993;

25-year trading ban with conditions (BCSC)
25-year director/officer ban with conditions (BCSC)
Lifetime trading ban (ASC)

Hooi, Joseph Ernest

06 May 1993;

25-year trading ban
25-year director/officer ban

Henry, Ronald James

25 Sep 2001;

10-year trading ban with conditions
10-year director/officer ban
10-year investor relations ban

Hope, Graham Martin

30 Apr 2003;

5-year compliance officer, branch manager, trading partner, director/officer ban with conditions

Hope, Harold Taylor

28 Jun 1991;

An undertaking to ensure compliance in the future (see Settlement/Order)

Hopkins, Malcolm

07 Sep 1997;

5-year director/officer ban with conditions

Howard, John Wilson

18 May 2004;

An undertaking not to apply to be a compliance officer in British Columbia

Hrappstead, Kenneth Walter

07 Apr 1999;

2-year director/officer ban with conditions
2-year investors relations ban with conditions

Hretchka, Michael

07 May 1993;

10-year director/officer ban with conditions

Huber, Henry Peter Michael

20 Sep 1993;

Loss of registration
10-year trading ban
10-year director/officer ban

Hudani, Intiyazali

18 Feb 1997;

10-year officer/director ban

Hughes, M. Ward

18 Nov 1997;

1-year director officer ban
1-year investor relations ban

Hughes, Steven Peter aka Hughes, Stephen Peter

31 Mar 2005;

Permanent trading ban (2005)
Permanent director/officer ban (2005)
Permanent investor relations ban (2005)
One-year trading ban with conditions (1999)

Hunter, James Jonathan

09 Nov 1995;

10-year trading ban
10-year director/officer ban

Husolo, Richard Douglas

03 Nov 1998;

An undertaking to inform all of his clients of the contents of the Settlement/Order reached with the Commission
An undertaking to comply with the Securities Act

Hussack, Mervyn L.

12 Jun 1991;

2-year trading ban

Irving, Thomas Rodney

19 Jun 1989;

2-year trading ban
2-year director/officer ban

Ivany, John

17 Dec 1990;

1-year trading ban (beginning July 18, 1994)

James, Peter

21 Aug 2001;

5-year trading ban with conditions
5-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision

Jankovic, Jerry Allen

03 Apr 1991;

3-year director officer ban with conditions

Jeffs, Richard Norman

24 Apr 2007;

An Order to comply fully with the Securities Act, Securities Rules and regulations (2007)
5-year investor relations ban (2007)
Must complete a course acceptable to the Superintendent concerning directors' and officers' duties prior to acting as a director, officer, or promoter of any reporting issuer other than Braemount Resources Ltd (1991)

Jimenez, Ana Victoria

27 Jun 2000;

10-year trading ban
10-year director/officer ban
10-year investor relations ban

Johnson, Blayne Barry

01 Jun 2001;

1-year trading ban with conditions
1-year director/officer ban with conditions

Johnson, Frank Albert

25 Feb 1999;

8-year trading ban with conditions
8-year director/officer ban

Johnson, Paul Daniel

26 Nov 1998;

3 month suspension of registration followed by 6 months of strict supervision

Johnston, John Brian

18 Jul 2000;

An undertaking to comply with the Securities Act
An undertaking to successfully complete the Conduct and Practices Handbook Exam by no later than May 31, 2001

Jolly, Michael

18 Oct 1993;

1-year trading ban
1-year director/officer ban

Jones, Simon Granville Lyn

05 Sep 1997;

10-year ban with conditions from acting as a trading partner, officer or director of a registered dealer or in any capacity as a supervisor of registrants

Judd, Marvin L.

10 Mar 1989;

25-year trading ban
25-year director/officer ban

Jukes, Andrew Richard

11 Sep 2002;

An undertaking to comply with the Securities Act

Jung, Bing

10 Sep 1998;

An undertaking to comply with the Securities Act

Junger, Peter A

28 Dec 1995;

3-year trading ban with conditions
3-year director/officer ban

Jupe, Robert Joseph

19 Mar 1999;

An undertaking to comply with the Securities Act

Hoogewerf, Peter

08 May 2002;

2-year trading ban with conditions
2-year director/officer ban conditions
2-year investor relations ban

Shear, Jeffrey

29 Aug 1989;

1-year director/officer ban

Durante, Edward Andrew (aka Simmons, Ed)

10 Nov 2004;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relation ban

Hobson, Gillian

10 Nov 2004;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relation ban with conditions

Woo, Hung Chi (Patrick)

25 Oct 2004;

10-year trading ban
10-year director/officer ban with conditions
10-year investor relations ban

Tsang, Johnathan Lam Wai

03 Nov 2004;

7-year trading ban with conditions
7-year director/officer ban with conditions
7-year investor relations ban with conditions

Tsang, Selena Ching Wan

03 Nov 2004;

7-year trading ban with conditions
7-year director/officer ban with conditions
7-year investor relations ban with conditions

Cole, Yvonne Anne

17 Nov 2004;

An undertaking to comply with the Securities Act and Regulations
An undertaking not to act as a director of a public company before successfully completing a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers of public companies

Cramer, Grant Claude

19 Nov 2004;

8-year trading ban with conditions
8-year director/officer ban with conditions
8-year investor relations ban
An undertaking not to apply for registration under the Securities Act for 8 years

Fung, Christopher

22 Nov 2004;

1-year director/officer ban with conditions

Whelan, Barry Leslie

24 Dec 2004;

An undertaking to comply with the Securities Act and regulations
An undertaking to not act as a director of a public company before successfully completing a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers of public companies
An undertaking to not prepare or disseminate mining disclosure for 2 years except under the supervision of a director

Grafton, George Melvin

31 Dec 2004;

Permanent trading ban (with conditions)
Permanent director/officer ban (with conditions)
Permanent investor relations ban

Jackson, Stewart Albert

13 Jan 2005;

An undertaking to comply with the Securites Act and regulations
An undertaking to not act as a director of a public company until he pays the sum listed below and he successfully completes a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers of public companies.
An undertaking to not prepare or disseminate mining disclosure for 3 years except under the supervision of a director

Dennis, Carey Brian

01 Jun 2005;

30-year trading ban with conditions
30-year director/officer ban
30-year investor relations ban

Davis, Laurie Harriet (Jeffers)

10 Feb 2005;

An Order to comply with the Securities Act and related Rules and Regulations

Davis, Ronald G.

10 Feb 2005;

An Order to comply with the Securities Act and related Rules and Regulations

Nicholson, Donald

11 Feb 2005;

An undertaking to comply with the Securities Act and related Rules and Regulations

Barker, Ronald Stephen

04 Mar 2005;

Permanent trading ban with conditions
Permanent director/officer ban with conditions
Permanent investor relations ban

Valentine, Mark Edward

07 Mar 2005;

15 year trading ban with conditions
Permanent director/officer ban

Matthews, Daniel Brennan

22 Mar 2005;

5-year director/officer ban with conditions
5-year investor relations ban with conditions

Cameron, James Harvey

05 Apr 2005;

4-year trading ban
4-year director officer ban
4-year investor relations ban

O'Connor, Paul Larry

31 Mar 2005;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Nelson, Eric Wayne

31 Mar 2005;

10-year trading ban
10-year director/officer ban
10-year investor relations ban

Hunter, David Lynn

25 Apr 2005;

5-year director/officer ban with conditions
An order to fully comply with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines.

Ruge, Michael Ernst

06 May 2005;

25-year trading ban with conditions
25-year director/officer ban with conditions
25-year investor relations ban

Dunfield, Peter William

28 Apr 2005;

3-year director/officer ban with conditions
3-year investor relations ban with conditions

Martinez, Jesus Ricafort

25 Apr 2005;

18-month trading ban with conditions
18-month director/officer with conditions

Fernback, Timothy

09 May 2005;

An Order to fully comply with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines.

Massey, William

09 May 2005;

An Order to fully comply with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines.

Wolverton, Brent

09 May 2005;

An Order to fully comply with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines.

McCarney, James Nelson

30 May 2005;

20-year trading ban with conditions
20-year director/officer ban with conditions
20-year investor relations ban with conditions
An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines

Park, Trevor William

01 Jun 2005;

12-year trading ban with conditions
12-year director/officer ban with conditions
12-year investor relations ban with conditions
An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines

Edgson, Brent

06 Jun 2005;

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban with conditions
An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines

Heeres, Mark Stephen

06 Jun 2005;

8-year trading ban with conditions
8-year director/officer ban with conditions
8-year investor relations ban with conditions
An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines

Gujral, Dilbagh Singh

12 Jul 2005;

4-year director/officer ban with conditions
4-year investor relations ban with conditions

Siu, Nelson Kenfung

15 Jul 2005;

One year of close supervision

French, Michael Fenwick

20 Jul 2005;

15-year trading ban with conditions
15-year director/officer ban
15-year investor relations ban

Tsang, Clive Chow Kai

23 Aug 2005;

5-year trading ban with conditions
5-year director/officer ban with conditions
A reprimand
An undertaking to not become or act as a designated compliance officer for 5 years
An undertaking to not seek registration under the Securities Act for 5 years

Siddiqi, Fatir Hussain

09 Sep 2005;

6-year trading ban
6-year director/officer ban
6-year investor relations ban

Rosen, Glenn Athony

31 Aug 2005;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Heredia, David Scott

29 Sep 2005;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Rosen, Jerome

29 Sep 2005;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Papalia, Robert

27 Oct 2005;

25-year director/officer ban with conditions
25-year investor relations ban with conditions

Judd, J. Keith

02 Aug 1988;

10-year trading ban
10-year director/officer ban with conditions

Judd, Michael D.

02 Aug 1988;

5-year director/officer ban with conditions

Garcia, Cathryn J.

02 Aug 1988;

6 months director/officer ban with conditions

Oslund, Dianne

31 Oct 2005;

15-year trading ban
15-year director/officer ban with conditions
15-year investor relations ban
An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines

Dabney, Raymond Christopher

15 Nov 2005;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban with conditions
An order to comply fully with the Securities Act, the Securities Rules, BC Reg. 194/97, and any applicable regulations, policies and guidelines

Moll, William Ronald

17 Nov 2004;

10-year trading ban
10-year director/officer ban
10-year investor relations ban

Maudsley, Paul Robert

09 Sep 2005;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Hall, Martin Raymond

25 Nov 2005;

3-year trading ban with conditions
Hall’s registration is subject to conditions for at least 12 months
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines

Poe, Paula Marie

13 Dec 2005;

5-year trading ban with conditions
5-year director/officer ban with conditions
An Order to fully comply with the the Securities Act, the Securities Rules, BC Reg. 194/97 and all applicable regulations, policies and guidelines

Wilson, Michael Alan

13 Feb 2006;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban with conditions
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines
A requirement to complete the Conduct and Practices Handbook course to the satisfaction of the Executive Director within two years of any application for registration

Co, Rene

21 Feb 2006;

2-year director/officer ban with conditions
2-year investor relations ban with conditions
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines
A requirement to complete the Conduct and Practices Handbook course to the satisfaction of the Executive Director within two years of the Order

McEwen, Cameron Willard

20 Mar 2006;

10-year trading ban
10-year director/officer ban
10-year investor relations ban

McCarthy, John Thomas

20 Mar 2006;

10-year trading ban
10-year director/officer ban
10-year investor relations ban

Chew, Wah Bo

22 Jan 1997;

An undertaking to comply with the Securities Act

Koenig, Trevor

06 Mar 2006;

Permanent trading ban with conditions
Permanent director-officer ban
Permanent investor-relations ban
An undertaking to never apply for registration undert the Securities Act

Thompson, John P.

18 Apr 2006;

Future registration as a director/officer tied to four years of compliance audits

Thompson, Rex W.

18 Apr 2006;

Future registration as a director/officer tied to four years of compliance audits

Thompson, Norman F.

18 Apr 2006;

Future registration as a director/officer tied to four years of compliance audits

Kagna, Elliot

21 Mar 2006;

An Order to fully comply with the Securities Act, Rules and regulations
Conditions placed upon Kagna's registration: Two years of close supervision A requirement to complete the Conduct and Practices Handbook Course within six months

Busto, Dominic

28 Apr 2006;

An Order to fully comply with the Securities Act, Rules and regulations
Conditions placed upon Busto's registration: Two years of close supervision A requirement to complete the Conduct and Practices Handbook Course within six months

Browne, Martin

12 May 2006;

An Order to fully comply with the Securities Act, Rules and regulations
An undertaking to not apply for registration under the Securities Act from the later of three years from the date of the settlement or the date he completes the Conduct and Practices Handbook Course
An undertaking to consent to three years of strict supervision from the date his registration begins

Cleveland, Derrick W.

15 Jun 2006;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Tsakok, Raoul Noel

30 Jun 2006;

An Order to comply fully with the Securities Act, the Securities Rules and regulations
An undertaking to not apply for registration under the Securites Act as an advising or trading officer of a registrant

Moy, Phillip

13 Jul 2006;

2-year director/officer ban with conditions
An order to comply fully with the Securities Act, Securities Rules and any applicable regulations and policies
A reprimand
An undertaking not to prepare, approve or file information with the BCSC on the behalf of a type of issuer for a period of 2 years

Halisky, Darryl Wayne

24 Jul 2006;

5-year trading ban with conditions
5-year director/officer ban
5-year investor relations ban
An order to comply fully with the Securities Act, the Securities Rules and any applicable regulations

Seto, Thomas Kim

04 Oct 2006;

12-year trading ban
12-year director/officer ban

Klein, Daryl Joseph

17 Oct 2006;

20-year trading ban with conditions
20-year director/officer ban with conditions
20-year investor relations ban
An Order to comply with the Securities Act, Securities Rules, and any applicable regulations

Clarke, Douglas Arnold

17 Oct 2006;

20-year trading ban with conditions
20-year director/officer ban with conditions
20-year investor relations ban
An order to comply with the Securities Act, Securities Rules, and any applicable regulations

Fiessel, Mervin George

26 Oct 2006;

Permanent trading ban with conditions
Permanent director/officer ban
Permanent investor relations ban
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

Doherty, Robert Michael

26 Oct 2006;

Permanent trading ban with conditions
Permanent director/officer ban with conditions
Permanent investor relations ban
An Order to comply fully with the Securities Act, Securities Rules, and any applicable regulations

Kuipers, Cameron

30 Nov 2006;

16-year trading ban with conditions
16-year director/officer ban with conditions
16-year investor relations ban
An Order to comply with the Securities Act, Securities Rules, BC Regulation 194/97 and any applicable regulations

Jinnah, Firoz

01 Dec 2006;

18-month director/officer ban with conditions
18-month investor relations ban with conditions
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

Mueller, Ingo W.

01 Dec 2006;

3-year director/officer ban with conditions
3-year investor relations ban with conditions
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

Disbrow, Robert James

29 Jan 1999;

An undertaking to comply fully with the provisions of the Securities Act, the Securities Rules and B.C. Regulation 194/94
3-month suspension from employment in any capacity as a member of the TSE (TSE)
Permanent suspension as a member of the TSE in certain supervisory capacities (TSE)

Nesis, Lawrence S.

20 Nov 1989;

18-month trading ban with conditions
3-year director/officer ban

Connor, Joel Gerrett

11 Apr 1996;

A reprimand

DeVries, John

29 Jan 2007;

17-year trading ban
17-year director/officer ban
17-year investor relations ban
An order to comply fully with the Securities Act and Securities Rules

Grafke, Ernest Reed

29 Jan 2007;

15-year trading ban
15-year director officer ban
15-year investor relations ban
An order to comply fully with the Securities act and Securities Rules

Bromley, Ralph

29 Jan 2007;

5-year trading ban
5-year director/officer ban (with conditions)
5-year investor relations ban
An order to comply fully with the Securities Act and Securities Rules

Campbell, Wesley

29 Jan 2007;

2-year trading ban
2-year director/officer ban (with conditions)
2-year investor relations ban
An order to comply fully with the Securities Act and Securities Rules

Negus, Lionel Mervin

25 Jan 2007;

15-year trading ban with conditions
15-year director/officer ban with conditions
15-year investor relations ban
An order to comply fully with the Securities Act and Securities Rules

Thompson, Christopher John

25 Jan 2007;

20-year trading ban with conditions
20-year director/officer ban with conditions
20-year investor relations ban
An order to comply fully with the Securities Act and Securities Rules

Riemens, David Bentley

12 Feb 2007;

10-year trading ban with conditions
10-year director/officer ban
10-year investor relations ban
An order to comply fully with the Securities Act and Securities Rules

Anderson, Brian David

21 Jun 2007;

Permanent trading ban
Permanent director/officer ban (with conditions)
Permanent investor relations ban

Jeffs, Robert Leigh

24 Apr 2007;

An order to comply fully with the Securities Act, Securities Rules and regulations
15-year director/officer ban
15-year investor relations ban

Kabir, Syed

30 May 2007;

7-year trading ban with conditions
7-year investor relations ban

Allen, Joseph Edward

30 May 2007;

Permanent trading ban with conditions
Permanent investor relations ban

Townsend, Michael Derek

29 May 2007;

1-year trading ban with conditions
1-year director officer ban with conditions
1-year investor relations ban with conditions
An Order to comply with the Securities Act, the Securities Rules and regulations

Good, Richard Robert

08 Jun 2007;

Permanent trading ban with conditions
Permanent director/officer ban
Permanent investor relations ban
An Order to comply fully with the Securities Act, the Securities Rules and regulations

MacGregor Bock, Jill Ellen

28 Jun 2007;

3-year trading ban with conditions
3-year investor relations ban with conditions

Stubos, George

28 Jun 2007;

2-year trading ban with conditions
2-year director/officer ban with conditions
2-year investor relations ban
An Order to file insider reports and to pay the applicable late filing fees
An Order to comply fully with the Securities Act, Securities Rules and regulations

Rempel, Enrique (a.k.a. Henry Rempel)

29 Jun 2007;

12-year trading ban with conditions
12-year director/officer ban with conditions
12-year investor relations ban
An Order to comply fully with the Securities Act, the Securities Rules and regulations

Lathigee, Michael Patrick

04 Jul 2007;

An Order to comply fully with the Securities Act, the Securities Rules and regulations

Pasquill, Earle Douglas

04 Jul 2007;

An order to comply fully with Securities Act, the Securities Rules, and regulations

Johnson, Edward Bernard

20 Jul 2007;

2-month registration suspension with conditions
6 months of close supervision

Weicker, Robert

31 Jul 2007;

An undertaking to not prepare or disseminate news releases containing scientific or technical information for any issuer for 12 months without supervision by a director or officer of the issuer

Shaw, Raymond Patrick

21 Aug 2007;

20-year trading ban with conditions
20-year director/officer ban with conditions
20-year investor relations ban

Minnie, Terry James

21 Aug 2007;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Orr, Bryan

14 Sep 2007;

3-year trading ban with conditions

Wilson, Kevin

25 Jan 2007;

10-year trading ban with conditions
10-year director/officer ban
10-year investor relations ban
An order to comply with the Securities Act, Securities Rules, and any applicable regulations

Thow, Ian Gregory

16 Oct 2007;

Permanent trading ban
Permanent director/officer ban
Permanent registration ban
Permanent investor relations ban

Slavik, Robert Theodore

17 Jul 1990;

1-year trading ban with conditions
1-year director/officer ban

Eilers, Anne Christine

31 Dec 2007;

1-year director/officer ban with conditions and a requirement to complete a course on the duties and responsibilities of directors and officers

Jardine, Brent Glen

04 Oct 2007;

2-year director/officer ban with conditions
2-year investor relations ban
An Order to comply fully with the Securities Act, the Securities Rules and applicable regulations

Budai, Albert Stephen

09 Oct 2007;

Permanent trading ban with conditions
Permanent director/officer ban with conditions
Permanent investor relations ban
An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

Savage, Michael

14 Dec 2007;

Pending

Rivers, Gregory William

15 Feb 2008;

12-year trading ban (with conditions)
12-year director/officer ban (with conditions)
12-year investor relations ban
An Order to comply full with the Securities Act, the Securities Rules, and regulations

Pinkett II, Preston

20 Feb 2008;

Reisner, Sidney John

12 Jun 2008;

3-year trading ban (with conditions) (BCSC)3-year director/officer ban (with conditions) (BCSC)3-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)3-year ban from acting in a management or consultative capacity in connection with activities in the securities market (BCSC)3-year investor relations ban (BCSC)

15 Jul 2008;

7-year ban from purchasing and trading in securities or exchange contracts (BCSC)

Clynes, Rick

15 Jul 2008;

3-year ban from purchasing and trading in securities or exchange contracts (BCSC)

12 Aug 2008;

Permanent ban from purchasing and trading in securities or exchange contracts (BCSC)

Sayers, Carol Jean

15 Aug 2008;

Sayers, Jennifer Dawn

15 Aug 2008;

Sayers, Ryan Kristen

15 Aug 2008;

Goh, Heng

24 Oct 2008;

12-year ban from purchasing and trading in securities or exchange contracts (with conditions )
12-year director/officer ban (with conditions)
12-year ban from becoming or acting as a registrant, investment fund manager or promoter
12-year ban from acting in a management or consultative capacity in connection with activities in the securities market
12-year investor relations ban
An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

De Jaray, Steven Allan Wylie

11 Mar 2004;

9-year trading ban with conditions
9-year director/officer ban with conditions
9-year investor relations ban

Wall, Peter

14 Apr 1998;

See reference documents / Voir documents de référence

Yeandle, C. Philip

12 Mar 1992;

8-year trading ban with conditions
15-year director officer ban

Ainslie, Douglas James

03 Dec 2002;

5-year trading ban with conditions
5-year director/officer ban
5-year investor relations ban

Achilles, Alasdair William aka Achilles, Allen

21 Nov 1997;

5-year trading ban with conditions
3-month director/officer ban
3-month investor relations ban
Must complete the Securities Program - Continuous Disclosure offered by Simon Fraser University

Albers, Rodney Keith

21 Aug 2001;

8-year trading ban with conditions
8-year investor relations ban
An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision provisions

Alexander, James Terrence

31 Dec 2007;

Permanent trading ban with conditions (2007)
Permanent director/officer ban with conditions (2007)
Permanent investor relations ban (2007)
20-year trading ban with conditions (1999)
20-year investor relations ban (1999)
20-year director/officer ban (1999)

Alter, Jacob Jackie

23 Jan 2004;

6-year trading ban with conditions
6-year director/officer ban with conditions
6-year investor relations ban

Andersen, Vagn T. M.

27 Dec 1989;

4-year trading ban
4-year director/officer ban

Anderson, Carl Glenn

07 Mar 2003;

6-year trading ban with conditions
6-year director officer ban with conditions
6-year investor relations ban

Anderson, Gary George

14 May 1992;

25-year trading ban
25-year director/officer ban

Anderson, Kevin

06 Apr 1992;

10-year trading ban (BCSC)
10-year director/officer ban (BCSC)
5-year ban (ASC)
Lifetime ban (SSC)

Anderson, Leon F.

10 Sep 1998;

An undertaking to comply with the Securities Act

Archibald, Donald William

05 Jan 2000;

An undertaking to comply with the Securities Act

Arlitt, John Louis

04 Aug 1998;

An undertaking to comply with the Securities Act

Armit, James Gordon

18 May 2004;

An undertaking not to apply to be a compliance officer in British Columbia

Armstrong, Norman Graham

12 Feb 1999;

Lifetime trading ban
Lifetime director/officer ban
2 years imprisonment and 3 years probation (Court)

Arnold, Karin

14 Oct 1992;

An undertaking to comply with the Securities Act

Arnot, Lindy

08 Nov 2002;

One-year director/officer ban with conditions

Ashton, Arthur

15 Jan 1988;

2-year trading ban
2-year director/officer ban
An undertaking not to prepare any technical reports on behalf of any reporting companies for 2 years

Ashworth, Edward Clive

13 Nov 1993;

10-year trading ban
10-year officer/director ban

Aven, Keath

18 Feb 1997;

8-year trading ban
8-year director/officer ban (with conditions)

Ayers, Elmer Patrick

10 Nov 1995;

10-year trading ban - Extended to 20-year ban
10-year officer/director ban - Extended to 20-year ban

Ayre, Calvin Edward

03 Oct 1996;

20-year trading ban
20-year director/officer ban (with conditions)

Bacinello, Teresa

28 Jul 1997;

An undertaking not to act as an adviser in British Columbia without registration under the Securities Act

Bajus, Paul Douglas

29 Jan 1999;

An undertaking to comply with the Securities Act

Baker, Harold Dale

19 Jun 1989;

2-year trading ban with conditions
2-year director/officer ban

Balak, Lee Andrew

16 Nov 1990;

3-year trading ban with conditions
3-year director/officer ban with conditions

Balfour, Francis D.

21 Apr 1995;

25-year trading ban
25-year director/officer ban

Balisky, Larry A.

14 May 1998;

An undertaking to comply with the Securities Act

Barnscher, Walter Leo

02 Apr 2004;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban

Yuen, Hing Wai (aka Yuen, George)

07 Jun 1995;

15-year trading ban
15-year director ban

Yamada, Daiji James

23 Nov 1995;

An undertaking to comply with the Securities Act

Barnes, James Arthur

13 Nov 1993;

5-year trading ban
5-year officer/director ban

Barry, Timothy James

16 Feb 1999;

One year ban

Bass, Christopher

25 Nov 1988;

4-year trading ban
4-year director/officer ban

Bateman, Larry Duane

05 Jul 2001;

2-year trading ban with conditions

Bennett, Russell James

28 Aug 1996;

10-year trading ban
10-year director/officer ban

Bennett, William Richards

28 Aug 1996;

10-year trading ban
10-year director/officer ban

Berg, Klaus

14 Oct 1992;

An undertaking to comply with the Securities Act

Bergvinson, Ernest Thorkell

29 Sep 1993;

2-year trading ban with conditions
2-year director/officer ban with conditions
An undertaking to bring filings up to date and to pay all associated fees

Berry, Dr. John

07 Feb 1997;

10-year trading ban
10-year officer/director ban

Bhalla, Prem Chand

22 Dec 1999;

2-year ban on trading in exempt securities (with conditions)
6 months of strict supervision
6 month ban on applying to have registration upgraded

Bieber, Ronald Bruce

30 Mar 1990;

3-year director/officer ban

Bilinski, Danny Francis

29 Jan 2002;

A sanction was not issued due to Mr. Bilinski's passing away (see Decision - May 26, 2003)

Biller, Francis (Frank) Jason Dean

26 Apr 2007;

Permanent trading ban (2007)
Permanent director/officer ban (2007)
Permanent investor relations ban (2007)
An Order to comply fully with the Securities Act, the Securities Rules and regulations (2007)
10-year trading ban (2000)
10-year director/officer ban (2000)

Blanchet, Peter Hunter

03 Sep 1992;

5-year trading ban
5-year director/officer ban

Blanchet, Tate

02 Feb 1990;

3-year director/officer ban

Wright, Jerome L.

07 Dec 1998;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban with conditions

Bodnarchuk, Mervin Michael

04 Jul 1997;

15-year trading ban (BCSC)
15-year director/officer ban (BCSC)
20-year trading ban (ASC)
Indefinite trading ban (SSC, MSC)

Bodnarchuk, Thomas

18 Feb 1991;

2-year trading ban
5-year director/officer ban

Wright, Catharine Bruce

20 Dec 2002;

4-year trading ban with conditions
4-year director/officer ban with conditions
4-year investor relations ban

Boni, Michael

30 May 1999;

See reference documents / Voir documents de référence

Boisson, Philippe

01 Oct 1992;

2-year trading ban
2-year director/officer ban

Borkowski, Paul Jan

06 Sep 1996;

15-year trading ban
15-year director/officer ban with conditions

Boyle, Brian James

05 Dec 2003;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Boyle, Jason Patrick

05 Dec 2003;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Boyle, Kevin Patrick

05 Dec 2003;

Lifetime trading ban
Lifetime director/officer ban
Lifetime investor relations ban

Wright, Alwyn Christopher Dales

20 Dec 2002;

4-year trading ban with conditions
4-year director/officer ban with conditions
4-year investor relations ban

Bozon, Nobert

14 Oct 1992;

An undertaking to comply with the Securities Act

Brass, Andrew James

21 Apr 1992;

25-year trading ban (BCSC)
25-year director officer ban (BSCS)

Woods, Larry Earl

12 Feb 1997;

5-year trading ban
5-year director/officer ban with conditions
15-year trading ban with conditions (Ontario Securities Commission)
90 days of imprisonment (Ontario Court)

Bray, Richard David

09 May 1989;

2-year director officer ban

Breuers, Konrad Karl

30 Jun 1989;

2-year director/officer ban

Brewer, Lloyd Christopher

29 Aug 2003;

2-year trading ban (with conditions)
2-year director/officer ban (with conditions)

Bristow, Dennis Beryl

19 Jan 2000;

1-year trading ban
2-year director/officer ban
2-year investor relations ban
An undertaking to comply with the Securities Act

Wong, Wendy Wai Ming

25 Mar 1997;

10-year trading ban
10-year director/officer ban

Brock, Timothy Britton

30 May 2003;

Six-year trading ban with conditions
Five-year director/officer ban

Buchanan, William Gordon

04 Apr 1995;

3-year trading ban
3-year director/officer ban

Wong, Sonny Tat

07 Jun 1995;

20-year trading ban
20-year director/officer ban

Buckner, Donald Neil

18 May 1993;

6-year trading ban with conditions
6-year director/officer ban with conditions

Winter, Lynn Ellen

17 Jun 1993;

Banned from trading until 2 years after insider reports filed
Banned from being a director/officer until 2 years after insider reports filed

Burgert, Karl Heinz

17 Jul 1998;

1-year director/officer ban with conditions

Burgert, Mark

17 Jul 1998;

3-year director/officer ban with conditions

Winch, Bruce James aka MCCONACHY, Bruce James

05 May 1997;

Registration cancelled
4-year director/officer ban
4-year investor relations ban
An undertaking not to apply for registration until May 4, 2007

Busby, Donald Wayne

19 Mar 2004;

4-year trading ban with conditions
4-year director/officer ban with conditions
4-year investor relations ban

Wilson, Mark Stephen

19 Dec 1989;

20-year trading ban
20-year director/officer ban

Byer, Daniel Eric

20 Feb 2008;

Byron, John

19 Nov 2001;

8-year trading ban with conditions
8-year director/officer ban with conditions
8-year investor relations ban

Wilson, Barry Gregory

16 Oct 1997;

6-month trading ban
6-month director/officer ban with conditions

Kain, Ross

02 Jun 1999;

2-year trading ban
2-year director/officer ban
2-year investor relations ban

Katz, Andrew Sim

22 Dec 1999;

8-year trading ban (with conditions)
8-year director/officer ban (with conditions)
8-year investor relations ban
Withdrawal of Exchange approval for 3 years (VSE)
Permant withdrawal of approval as a VCT Trader (VSE)
24 months strict supervision if approval regained and employment with a member of the Exchange is secured

Keating, Kenneth Murrary

29 Jan 2002;

5-year trading ban with conditions
5-year director/officer ban

Kehoe, Sean Francis

13 May 1993;

See reference documents / Voir documents de référence

Kelly, Maureen Louise

10 Nov 1998;

A six month and a four month jail sentence to be served concurrently (Courts)
20-year trading ban (BCSC)
20-year director/officer ban (BCSC)
20-year investor relations ban (BCSC)

Danzig, Geoffrey

15 Feb 1996;

3-year trading ban
3-year director/officer ban (with conditions)

Kelly, William Thomas Edward

10 Nov 1998;

A twelve month and a six month jail sentence to be served concurrently (Court)
20-year trading ban (BCSC)
20-year director/officer ban (BCSC)
20-year investor relations ban (BCSC)

Kennedy, Edward Gunnar

15 Feb 2001;

2-year director/officer ban

Kerkhoff, Peter

03 Sep 1997;

10-year officer/director ban (with conditions)

Kerkhoff, Willem

03 Sep 1997;

10-year officer/director ban (with conditions)

Killough, Kevin Sean

06 Nov 2001;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban
An undertaking to not seek registration under the Securities Act for 10 years

Kingsley, Jason

19 Nov 2001;

Permanent trading ban
Permanent director/officer ban
Permanent investor relations ban

Kinmond, Brian Douglas

08 Feb 1996;

2-year director/officer ban
An undertaking not to seek registration for 2 years

Klassen, Ronald Oscar

09 Feb 1998;

5-year trading ban with conditions
5-year director/officer ban with conditions

Klippenstein, John

28 May 2004;

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban

Knight, Michael Jerome

05 Apr 2004;

3-year trading ban with conditions
3-year director/officer ban with conditions
3-year investor relations ban

Knowlton, Del

20 Mar 2000;

10-year trading ban
10-year director/officer ban
10-year investor relations ban

Knowlton, Linda

20 Mar 2000;

5-year trading ban
5-year director/officer ban
5-year investor relations ban

Ko, Eric Siu Fung

21 Aug 1996;

5-year ban on trading in forex contracts with conditions
5-year Officer/Director ban with conditions

Koch, Caspar

07 Jan 2004;

2-year trading ban with conditions
2-year director/officer ban with conditions

Kohan, Mark

22 Dec 1994;

An undertaking to issue an amended Offering Agreement
An undertaking to comply with the Securities Act and associated Rules and Regluations

Konradt, Josef

14 Oct 1992;

An undertaking to comply with the Securities Act

Kopec, Michael Norman

07 Sep 1999;

2-year trading ban with conditions
An undertaking to comply with the Securities Act

Kotler, Gordon Saul

01 Oct 1992;

10-year trading ban (BCSC)
10-year director/officer ban (BCSC)
2-years probation (Courts)
200 hours of community service (Courts)

Kozak, Iwona

14 Feb 2000;

An undertaking to comply with the Securities Act and with the By-laws, Rules and Policies of the Vancouver Stock Exchange

Kriese, Roberta Jane

16 Feb 1999;

1-year trading ban with conditions

Krischer, Christine

14 Oct 1992;

An undertaking to comply with the Securities Act

Krueckl, George

10 Mar 1989;

20-year trading ban
20-year director/officer ban

Kuhn, Brian Paul

11 Sep 2002;

7-year trading ban with conditions
7-year director officer ban with conditions
7-year investor relations ban with conditions
An agreement to provide restitution to four investors

Laatsch, Lorne

15 Aug 1997;

7-year trading ban (with conditions)
7-year director/officer ban (with conditions)
7-year investor relations ban (with conditions)

Labadie, Joseph Claude Michel

15 Mar 2000;

An undertaking to comply with the Securties Act

Lafleur, Mark

05 Dec 1988;

4-year trading ban
4-year director officer ban

Lai, Wai-Winnie

05 Feb 1996;

An undertaking to never seek registration under the Securities Act

Lamb, Po Zhinke a.k.a. Lamb, Paul

07 Jun 1995;

20-year director/officer ban
20-year trading ban

Lamblin, Robert Pierre

29 Jan 2002;

15-year trading ban with conditions
15-year director/officer ban with conditions
15-year investor relations ban with conditions
15-year ban from being a registrant under the Securities Act (with conditions)
1 year of strict supervision following any registration under the Securities Act

Lamm, Ming

07 Jun 1995;

15-year director/officer ban
15-year trading ban

Lane, Judy Lilli-Anne

14 Oct 1992;

Cancellation of Registration
9-year trading ban
9-year director/officer ban
2-years probation (Courts)

Lau, David

07 Jun 1995;

10-year trading ban
10-year director/officer ban

Laurins, Alex V.

21 Dec 1987;

2-year trading ban

Lazell, Carl L.

19 Nov 2001;

5-year trading ban (BCSC)
5-year director/officer ban with conditions (BCSC)

Leiske, Kenneth Kim

15 Apr 2004;

12-year trading ban with conditions
12-year director/officer ban with conditions
12-year investor relations ban
An undertaking not to apply for registration for 12 years

Lepp, Harold Richard

05 Jun 1992;

25-year trading ban (BCSC)
25-year director/officer ban (BCSC)
4 concurrent sentences of imprisonment for 2 years less a day

Letendre, James Calvin

22 Oct 1997;

15-year trading ban
15-year director/officer ban
15-year investor relations ban

Levinson, Akiko

12 Aug 1999;

An undertaking to properly file insider reports and to comply with the Securities Act

Levinson, Michael

12 Aug 1999;

An undertaking to properly file insider reports and to comply with the Securities Act

Lewis, David Reg

08 May 2001;

An undertaking to provide a BC investor with the right to a full refund
An undertaking to comply with the Securities Act

Lewis, James B

24 Mar 1994;

1-year trading ban

Lewis, John Lawrence

03 Nov 1998;

An undertaking to inform all of his clients of the contents of the Settlement/Order reached with the Commission

Lewis, Margaret

08 Apr 1992;

1-year trading ban
3-year director officer ban with conditions

Lewis, Peter John

30 Mar 1990;

See reference documents / Voir documents de référence

Calf, Maurice John

14 Dec 1999;

15-year trade ban with conditions
15-year director/officer ban
15-year investor relations ban

Callies, Gordon Howard

28 Jul 2004;

25-year trading ban with conditions
25-year director/officer ban
25-year investor relations ban

Cameron, Donald Edward

17 Dec 1987;

3-year trading ban with conditions

Carriere, Germain

06 Sep 2002;

An undertaking to comply with the Securities Act

Carter, Roy

22 Jul 1994;

5-year trading ban with conditions
5-year director/officer ban with conditions

Cerka, John

16 Oct 1997;

1-year trading ban
1-year director/officer ban with conditions

Lieberman, Marc Arthur

20 Jan 1998;

5-year trading ban
5-year director/officer ban

Lieberman, Philip

20 Jan 1998;

Banned Until - Permanent
Life-time trading ban (1998)
Life-time director/officer ban (1998)
8-year trading ban (1994)
8-year director/officer ban (1994)
10-year trading ban (1988)

Lightbody, William Thomas

31 Aug 1989;

15-year trading ban
15-year director/officer ban

Chan, Andy

25 Mar 1997;

30-year trading ban
30-year director/officer ban

Linde, William Carey

12 Jun 1991;

2-year trading ban

Lindzon, Irving S

23 Apr 1992;

Banned Until: Two years following compliance with Commission's Order
2-year trading ban with conditions
2-year director/officer ban with conditions

Chan, Joseph Yan-Lap

21 Aug 1996;

An undertaking to comply with the Securities Act
An order to cease trading in Forex Contracts until conditions are met

Lis, Stanislaw Leon

14 Feb 2000;

An undertaking to comply with the Securities Act and with the By-laws, Rules and Policies of the CDNX

Chapman, Lester Gene

31 May 1988;

5-year trading ban

Chapman, Robert John

11 Dec 1989;

5-year trading ban
10-year director/officer ban

Chappell, Gordon Charles

22 Oct 1997;

12-year trading ban
12-year director/officer ban
12-year investor relations ban

Liske, Reid Marvin

13 Jun 2002;

3-year ban from serving as a designated compliance officer with conditions

Little, Glenn Albert

14 Feb 2000;

An undertaking to comply with the Securities Act and with the By-laws, Rules and Policies of the Vancouver Stock Exchange

Charuk, Alan

25 Nov 1988;

2-year trading ban with conditions
2-year director/officer ban with conditions

Chato, John

28 Jun 2000;

Banned from trading until Order revoked

Lloyd, William Ralph

15 Feb 1996;

Five-year trading ban
Five-year director/officer ban (with conditions)

Lo, William Kee Yiu

25 Mar 1997;

1-year trading ban
1-year director/officer ban

Loewen, Thomas

16 Feb 1999;

1-year trading ban with conditions

Lui, Stephen

29 Aug 1989;

6-month director/officer ban

Lyall, David

06 Apr 1999;

An undertaking to comply with the Securities Act

Ma, Alexander Kwon Chao

07 Jun 1995;

10-year trading ban
10-year director/officer ban

Maarsman, Daniel

15 Aug 1997;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban with conditions

MacDonald, James Clark

09 Sep 2003;

Reprimanded

MacDonald, Ronald A

26 Apr 1993;

An undertaking to notify purchasers of the terms of the Settlement/Order
An undertaking to supply each purchaser with a properly prepared prospectus
An undertaking to offer the purchasers a right of rescission

Machtinger, Joel

04 Jun 1993;

5-year trading ban
5-year director/officer ban

MacNeil, Maureen

25 Nov 1988;

4-year trading ban
4-year director/officer ban

MacRae, Earl

10 Mar 1989;

15-year trading ban
15-year director/officer ban

Magid, Sameh

04 Nov 1997;

See reference documents / Voir documents de référence

Mah, Hugh J.

02 Feb 1990;

1-year trading ban
5-year director/officer ban

Mahoney, Richard Patrick Joseph

07 Feb 2000;

See reference documents / Voir documents de référence

Main, Charles Alexander

04 Aug 1993;

10-year trading ban
10-year director/officer ban with conditions

Chen, Tai

02 Feb 1990;

3-year director/officer ban

Cheung, Kit Wai (Johnny)

21 Aug 1996;

An undertaking to comply with the Securities Act
An order to cease trading in Forex Contracts until conditions are met

Chevalier, Alain Germain

04 Feb 2003;

5-year trading ban with conditions
5-year director/officer ban with conditions
5-year investor relations ban with conditions

Christensen, Gert

15 Apr 1991;

5-year trading ban
5-year director/officer ban

Christian, Kevin W

31 Mar 2000;

Bowser, Paul Brian

10 Feb 2005;

Proof of Conduct & Practices Course by CSI within 120 days of Order

Clarke, Bruce E.

28 Jun 2004;

5-year director/officer ban
Registration cancelled

Clarke, Steven Elliott

26 Oct 2005;

See reference documents / Voir documents de référence

Colpitts, R. Blois

23 Mar 2006;

Prohibited from being, becoming or acting as a officer or director

Johnson, Douglas Allen

16 Apr 2008;

See reference documents / Voir documents de référence

Keogan, Russel Dan

25 Jan 2007;

Suspended until Director has proof of employ with a firm

Langille, Jeremiah David (a.k.a. Langille, Jerry Wayne)

12 May 2006;

Licensed terminated

Lynch, Michael Dennis

22 Oct 2008;

See reference documents / Voir documents de référence

Marino, Mario

25 Nov 2008;

Successfully complete training on roles and responsibilities of an officer of a reporting issuer within 1 year from date of Order

Raymond, Robert Ernest

20 Feb 2007;

Perm cease trading
Permanetly denied all exemptions contained in NS law

Robinson, Christopher

14 Jul 2005;

See reference documents / Voir documents de référence

Rollo, Harry John Jr.

23 Jun 2005;

Cancelled registration in NS

Schriver, Bruce Patrick

14 Aug 2006;

See reference documents / Voir documents de référence

Stuckless, Everett R.

13 Mar 2006;

Cease trading in all classes of Securities in NS

NILES, Harry

04 Nov 2008;

permanent ban from trading in securities other than those owned by him
permanent ban from becoming or acting as a director or officer of any issuer

FREEDMAN, Ted

03 Nov 2008;

permanent ban from trading in all securities
exemptions in NB Securities law do not apply

FREEDMAN, Ted

24 Oct 2008;

ex parte temporary cease trade order

DREVER, Lorne

25 Aug 2008;

permanent ban from trading in securities
permanent ban from becoming or acting as a director or officer of any issuer engaging in securities related activities in New Brunswick

PARK, Sang

25 Aug 2008;

10 year ban for trading in all securities other than those owned by him.
exemptions in NB Securities law do not apply for a period of 10 years

KIMMEL, Roger A. Jr.

20 Aug 2008;

cease trade in all securities
exemptions in NB securities law do not apply

MALSBURY, Shayne Lorne

20 Aug 2008;

cease trade in all securities
exemptions in NB securities law do not apply

GOLIC, Adis

14 Jul 2008;

cease trade in all securities
exemption in NB securities Law do not apply
must resign any position he holds as director or officer of any issuer
prohibited from becoming or acting as a director, or officer of any issuer registrant or mutual fund manager

Novielli, Lino (aka Pasqualino or Lee)

19 Jun 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

Moloney (aka Caldwell), Brian

19 Jun 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities do not apply

TOMELI, Evanna

19 Jun 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

BLACK, Robert

19 Jun 2008;

cease trade in all securities and cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

WYLIE, Richard

19 Jun 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

ANDERSON, Jack

19 Jun 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities do not apply

CORCORAN, Jim

19 Jun 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

Novielli, Lino (aka Pasqualino or Lee)

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

Moloney (aka Caldwell), Brian

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

TOMELI, Evanna

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

BLACK, Robert

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

WYLIE, Richard

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

ANDERSON, Jack

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

CORCORAN, Jim

28 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

Novielli, Lino (aka Pasqualino or Lee)

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

Moloney (aka Caldwell), Brian

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

TOMELI, Evanna

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

BLACK, Robert

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

WYLIE, Richard

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

ANDERSON, Jack

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

CORCORAN, Jim

12 May 2008;

cease trade in all securities
cease any acts constituting attempts or acts in furtherance of trading in securities
exemptions in NB securities law do not apply

DREVER, Lorne

10 Apr 2008;

cease trade in all securities
exemptions in NB securities law do not apply

NILES, Harry

10 Apr 2008;

cease trade in all securities
exemptions in NB securities law do not apply

CODY, Michael

10 Apr 2008;

cease trade in all securities
exemptions in NB securities law do not apply

NASON, Donald

10 Apr 2008;

cease trade in all securities
exemptions in NB securities law do not apply

Lane, Robert E.

27 Mar 2008;

cease trade in all securities

TRACIE, Jeannie

26 Mar 2008;

cease trade in all securities other than those beneficially owned directly by her

Oagles, James H.

26 Mar 2008;

cease trade in all securities other than those beneficially owned directly by him

Fulton, Ronald J.

26 Mar 2008;

cease trade in all securities other than those beneficially owned directly by him

NILES, Harry

15 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

CODY, Michael

15 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

NASON, Donald

15 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

DREVER, Lorne

15 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

O'Brien, Eric

15 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

SYLVESTER, Julian

15 Oct 2007;

cease trade in all securities
exemptions in NB Securities law do not apply

THEODOROPOULOS, George (aka George THEODORE)

09 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

WERNER, Andrew

09 Oct 2007;

cease trade in all securities
exemptions in NB securities law do not apply

THEODOROPOULOS, George (aka George THEODORE)

24 Sep 2007;

cease trade in all securities
exemptions in NB securities law do not apply

WERNER, Andrew

24 Sep 2007;

cease trade in all securities
exemptions in NB securities law do not apply

VIZCARRA, Jorge (aka George Dizcarra)

02 Aug 2007;

cease trade in all securities
exemptions in NB securities law do not apply

VIZCARRA, Jorge (aka George Dizcarra)

27 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

WILSON, Sean

27 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

PRAAMSMA, Justin

27 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

Praamsma, Conrad

27 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

Young, Todd

27 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

WILSON, Sean

13 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

PRAAMSMA, Justin

13 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

Praamsma, Conrad

13 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

Young, Todd

13 Jul 2007;

cease trade in all securities
exemptions in NB securities law do not apply

BASKIN, David

01 May 2007;

seek proper registration
pay owing registration fees of $3600, administrative penalty of $35000

HANLEY, James K

26 Feb 2007;

exemptions in NB securities law do not apply for a period of 20 years

HALEY, Keith

11 Jan 2007;

exemptions in NB securities law do not apply
cease trade in all securities

LEBLANC, Normand

11 Jan 2007;

exemptions in NB securities law do not apply
cease trade in all securities

SPONAGLE, Quintin

11 Jan 2007;

exemptions in NB securities law do not apply
cease trade in all securities

HALEY, Keith

13 Dec 2006;

cease trade in all securities
exemptions in NB securities law do not apply

LEBLANC, Normand

13 Dec 2006;

cease trade in all securities
exemptions in NB securities law do not apply

SPONAGLE, Quintin

13 Dec 2006;

cease trade in all securities
exemptions in NB securities law do not apply

HALEY, Keith

20 Oct 2006;

cease trade in all securities
exemptions in NB securities law do not apply

LEBLANC, Normand

20 Oct 2006;

cease trade in all securities
exemptions in NB securities law do not apply

SPONAGLE, Quintin

20 Oct 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

11 Oct 2006;

See reference documents / Voir documents de référence

LANYS, Steve

11 Oct 2006;

See reference documents / Voir documents de référence

GROSSMAN, Al

24 Aug 2006;

See reference documents / Voir documents de référence

LANYS, Steve

24 Aug 2006;

See reference documents / Voir documents de référence

Da Silva, Carlos

14 Jun 2006;

cease trade in all securities
exemptions in NB securities law do not apply

Campbell, David

14 Jun 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

14 Jun 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

24 May 2006;

See reference documents / Voir documents de référence

WADDINGHAM, Leonard

24 May 2006;

See reference documents / Voir documents de référence

ULFAN, Hanoch

24 May 2006;

See reference documents / Voir documents de référence

GROSSMAN, Al

24 May 2006;

See reference documents / Voir documents de référence

LANYS, Steve

24 May 2006;

See reference documents / Voir documents de référence

GROSSMAN, Al

11 May 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

26 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

ULFAN, Hanoch

26 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

MEZINSKI, Tom

26 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

ULFAN, Hanoch

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

MEZINSKI, Tom

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

ULFAN, Hanoch

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

LANYS, Steve

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

TRAVIN, Jack

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

WADDINGHAM, Leonard

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

MESSINGER, Saul

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

WADHANI, Kim

11 Apr 2006;

cease trade in all securities
exemptions in NB securities law do not apply

GROSSMAN, Al

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

ULFAN, Hanoch

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

LANYS, Steve

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

TRAVIN, Jack

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

WADDINGHAM, Leonard

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

MESSINGER, Saul

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

WADHANI, Kim

31 Mar 2006;

cease trade in all securities
exemptions in NB securities law do not apply

LACROIX, Vincent

09 Sep 2005;

registration suspended

MANOR, Boaz

16 May 2005;

registration suspended

MANOR, Boaz

15 Feb 2005;

cease trade in all securities

Valentine, Mark Edward

15 Feb 2005;

exemptions in NB securities law do not apply
cease trade in all securities for 15 years
resign all director or officer positions for NB Issuers
permanently barred from becoming director or officer of any NB Issuer

Byer, Daniel Eric

17 Dec 2008;

Reciprocal
Cease Trade
Director/Officer Ban

Stevenson, Malcolm Cameron Boyd

17 Dec 2008;

Reciprocal
Cease Trade
Director/Officer Ban

Pinkett II, Preston

17 Dec 2008;

Reciprocal
Cease Trade
Director/Officer Ban

Lee, Peter George

17 Dec 2008;

Reciprocal
15 Year Director/Officer Ban

Leung, Betty

10 Dec 2008;

Reciprocal
Cease Trade
Director/Officer Ban

Cooke, Maxine

10 Dec 2008;

Reciprocal
Cease Trade With Conditions
Director/Officer Ban

Anderson, Brian David

10 Dec 2008;

Reciprocal
Cease Trade
Director/Officer Ban with Condition

Thow, Ian Gregory

10 Dec 2008;

Reciprocal
Cease Trade
Director/Officer Ban

Novielli, Lino (aka Pasqualino or Lee)

26 Nov 2008;

Reciprocal
Cease Trade

Moloney (aka Caldwell), Brian

26 Nov 2008;

Reciprocal
Cease Trade

Kroeker, Tracy Lee

17 Sep 2008;

Reciprocal
6 Year Trading Ban With Condition
Denial of Exemptions
6 Year Director/Officer Ban With Condition

Kamerling, Beverly

17 Sep 2008;

Reciprocal
Trading Ban With Conditions
Denial of Exemptions
Director/Officer Ban

DeVries, John

13 Aug 2008;

Reciprocal
16 Year Trading Ban
16 Year Director/Officer Ban
16 Year Investor Relations Ban

Grafke, Ernest Reed

13 Aug 2008;

Reciprocal
14 Year Trading Ban
14 Year Director/Officer Ban
14 Year Investor Relations Ban

Bromley, Ralph

13 Aug 2008;

Reciprocal
4 Year Trading Ban
4 Year Director/Officer Ban With Condition
4 Year Investor Relations Ban

Campbell, Wesley

13 Aug 2008;

Reciprocal
1 Year Trading Ban
1 Year Director/Officer Ban With Condition
1 Year Investor Relations Ban

Steele, Kevin Jason

13 Aug 2008;

Reciprocal
Permanent Trading Ban With Condition
Permanent Director/Officer Ban
Permanent Investor Relations Ban

Fulkco, David John

13 Aug 2008;

Reciprocal
15 Year Trading Ban With Condition
15 Year Director/Officer Ban
15 Year Investor Relations Ban

Clarke, Douglas Arnold

13 Aug 2008;

Reciprocal
18 Year Trading Ban With Condition
18 Year Director/Officer Ban With Condition
18 Year Investor Relations Ban

Klein, Daryl Joseph

13 Aug 2008;

Reciprocal
18 Year Trading Ban With Condition
18 Year Director/Officer Ban With Condition
18 Year Investor Relations Ban

Braun, Cheryl-Lynn

09 Jul 2008;

Reciprocal
Trading Ban
Denial of Exemptions

Oslund, Dianne

09 Jul 2008;

Reciprocal
12 Year Trading Ban
12 Year Director/Officer Ban
12 Year Investor Relations Ban

Wladyka, Jack George

28 May 2008;

Director/Officer Ban
Denial of Exemptions
Penalty and Costs

Heidebrecht, Sheldon Terry

29 Apr 2008;

See reference documents / Voir documents de référence

Friesen, Kelly

27 Feb 2008;

Reciprocal
Trading Ban
Denial of Exemptions

McAdam, Sonja A.

27 Feb 2008;

Reciprocal
Trading Ban
Denial of Exemptions

Sonego, Eric

12 Dec 2007;

See reference documents / Voir documents de référence

Lewis, Josephus Delacore

12 Dec 2007;

See reference documents / Voir documents de référence

Praamsma, Conrad

28 Nov 2007;

Reciprocal
Trading Ban
Denial of Exemptions

Young, Todd

28 Nov 2007;

Reciprocal
Trading Ban
Denial of Exemptions

Sinni, Jack

28 Nov 2007;

Reciprocal
Trading Ban
Denial of Exemptions
Restitution
Restitution

Syme, Robert

12 Mar 2007;

Restitution

Park, Trevor William

31 Aug 2006;

Reciprocal
Denial of Exemptions
Director/Officer Ban
Investor Relations Ban

McCarney, James Nelson

25 Jan 2006;

Reciprocal
Amending December 7, 2005 Order
Fine

Vlaovic, Djordie (George)

10 Sep 2003;

Costs
Course Requirement
Registration Supervision
Penalty and Costs

Hoeschen, James Richard

23 May 2001;

Costs

Klassen, Gregory David

10 Jan 2001;

See reference documents / Voir documents de référence

Napper, Robert Charles

10 Jan 2001;

Payment
Costs

Finley, David Wayne

23 Nov 2000;

Payment
Costs

Spiring, Charles Douglas

17 Oct 2000;

Written Reprimand
Payment
Costs

Rattai, Shawn

09 Aug 2000;

See reference documents / Voir documents de référence

Tetrault, Roland Emile

17 Jul 2000;

See reference documents / Voir documents de référence

Tetrault, Roland Emile

29 Feb 2000;

Costs

Sidiropoulos, Michael

30 Dec 1999;

2 Year Denial of Exemptions
Costs

Tetrault, Roland Emile

21 May 1999;

See reference documents / Voir documents de référence

Kowalchuck, Kim

02 Dec 2008;

See reference documents / Voir documents de référence

Parker, Tom

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

London, Joe

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Robinson, Peter

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Roberts, Mark

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Saks, Abraham

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Walsh, Michael

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Crawford, Kevin

27 Nov 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Kimmel Jr, Roger A.

29 Jul 2009;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Shore, Stephen J.

29 Jul 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Gray, Troy

29 Jul 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Novielli, Lino (aka Pasqualino or Lee)

11 Jun 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

WYLIE, Richard

11 Jun 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

ANDERSON, Jack

11 Jun 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Matthews, John

11 Jun 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Derow, Myron Benedict

15 Dec 2010;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Zacarias, Brian J. Wolf aka: Wolf, Brian aka: Zacharias, Brian aka: Zacirias, Brian aka: Wolf, Brian Zacharias

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Loyo, Roger Fernando Ayusoaka: Ayuso, Roger

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Hemingway, Alan

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Moore, Ed

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Moore, Kim

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Rogers, Jason

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Urrutia, Dave

28 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Foster, Linda

05 Mar 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Goldman, Mark

12 Feb 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

McAdam, Sonja

06 Feb 2008;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Friesen, Kelly

11 Dec 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Kowalchuk, Kim

23 Nov 2007;

See reference documents / Voir documents de référence

Link, Klaus

17 Oct 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Standon, Debbie

17 Oct 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

WILSON, Sean

27 Jul 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Sinni, Jack

27 Jul 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Young, Todd

27 Jul 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Clifford, Richard

27 Jul 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Thomas, Paul

18 May 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Gold, Vince

18 May 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Theodore, George

26 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Iwanski, Dan

26 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Axelrod, Steve

26 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Schaiken, Sy

26 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Ross, Bill

26 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Green, Richard L.

26 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Kirkpatrick, Bruce

03 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Manz, Jeffery

03 Apr 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts
exemptions do not apply
cease trading

Brasfield, Don

21 Mar 2007;

cease advising in all securitiestrades and exchange contracts
exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Reece, John

21 Mar 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Dizcarra, George

21 Mar 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Grant, Frank

21 Mar 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Saxon, Rick

21 Mar 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts
exemptions do not apply
cease trading

Dizcarra, George

21 Mar 2007;

cease advising in all securitiestrades and exchange contracts
exemptions do not apply
cease trading

Grant, Frank

21 Mar 2007;

cease advising in all securitiestrades and exchange contracts

Bell, Timothy

21 Mar 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

White, Bruce

21 Mar 2007;

exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts

Kowalchuk, Allan D.

13 Dec 2006;

See reference documents / Voir documents de référence

Goebel, Reginald Allen

27 Nov 2006;

See reference documents / Voir documents de référence

Boyd, Douglas John

30 Nov 2006;

Lifetime cease trade in securities or exchange contracts in Saskatchewan
Lifetime ban on advising in securities or exchange contracts in Saskatchewan
resignation of any position held as a director or officer of an issuer or registrant
prohibited from becoming or acting as director or officer of an issuer or registrant
prohibited from being employed by any issuer or registrant

Boyd, Sandra Faye

30 Nov 2006;

Blerot, Gerald Wilfrid

06 Sep 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Sayers, Jean

06 Sep 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Sayers, Jennifer Dawn

06 Sep 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Sayers, Ryan

06 Sep 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Aquavia, Eric

14 Aug 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Davis, Dan

14 Aug 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Moxey, Al

14 Aug 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Bethel, Ronnie

14 Aug 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Bell, Timothy

14 Aug 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Finklestein, Russell

14 Aug 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Fagundes, Fernandoaka: Silver, Shaneaka: Silverman, Shaneaka: Silva, Shaneaka: Silva, Fernandoaka: Fagend

08 Jun 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Kowalchuk, Kim John

08 Jun 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Kowalchuk, Allan D.

08 Jun 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Goebel, Reginald Allen

08 Jun 2006;

Exemptions do not apply
cease trading
cease advising in all securities trades and exchange contracts

Bélanger, Louis N.

14 Oct 2008;

See reference documents / Voir documents de référence

Renaud, Philip

03 Dec 2008;

Fine

Caron, Miguel

17 Nov 2008;

Fine

Battah, Kenneth

15 Oct 2008;

Cease-trade order Prohibition to act as counselor

Leroux, Jean-Yves

14 Oct 2008;

Guilty on 2 counts

Hemingway, Alan

09 Oct 2008;

Cease-trade order
Prohibition to act as counselor

Moore, Ed

09 Oct 2008;

Cease-trade order
Prohibition to act as counselor

Moore, Kim

09 Oct 2008;

Cease-trade order
Prohibition to act as counselor

Rogers, Jason

09 Oct 2008;

Cease-trade order
Prohibition to act as counselor

Ollu, Serge

08 Oct 2008;

Cease-trade order
Freeze asset order

Raynault, Denyse

08 Oct 2008;

Prohibition to act as counselor
Cease-trade order

Vallée, Jacques

08 Oct 2008;

Prohibition to act as counselor
Cease-trade order

Cortellazzi, Andrea

08 Oct 2008;

Prohibition to act as counselor
Cease-trade order

Frigon, Marie-Hélène

08 Oct 2008;

Prohibition to act as counselor
Cease-trade order

Renaud, Yves

08 Oct 2008;

Prohibition to act as counselor
Cease-trade order

Black, Hans Peter

15 Sep 2008;

Administrative penalty

Lemire, Louis-Robert

09 Sep 2008;

Cease-trade order

Murphy, Ray

04 Aug 2008;

Cease-trade order

Kougioumoutzakis, Philippe

31 Jul 2008;

Cease-trade order
Prohibition to act as counselor

Megdoud, Mohammed

31 Jul 2008;

Cease-trade order
Prohibition to act as counselor

Couture, Pierre

31 Jul 2008;

Cease-trade order
Prohibition to act as counselor

Provost, Claude-Yvon

31 Jul 2008;

Cease-trade order
Prohibition to act as counselor

Laliberté, Benoît

31 Jul 2008;

Fine

Poirier, Jean-Louis

14 Jul 2008;

Cease-trade order
Freeze asset order

Bissonnette, Luc

14 Jul 2008;

Cease-trade order
Freeze asset order

Savoie, Jacques

14 Jul 2008;

Cease-trade order
Freeze asset order

Laroche, Jean-François

10 Feb 2006;

Cease-trade order
Freeze asset order
Fine

Nolet, Gérard

14 Jul 2008;

Cease-trade order
Freeze asset order
Fine

Allaire, David

23 Jun 2008;

Fine

Cournoyer, Gaby

23 Jun 2008;

Imprisonment - 12 months
Fine

Gagnon, Bernard

26 May 2008;

Guilty on 41 counts
See reference documents / Voir documents de référence

Caros, Constantinos aka Dean

21 Apr 2008;

Fine

Gauthier, Guy-Paul

24 Apr 2008;

See reference documents / Voir documents de référence

Marleau, Philippe

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Bialek, Robert

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Hajduk, Arkadiusz

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Quiroz, Mayco

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Bendavid, Sam

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Vekselman, Alex

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Chhiv, Yarith

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Gauthier, André

27 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Angelopoulos, Mario

04 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Corriveau, Mario

01 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Tremblay, Frédéric G.

01 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Villareal, Liz Perez

01 Feb 2008;

Cease-trade order
Prohibition to act as counselor

L'Heureux, Johanne

01 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Plamondon, Alice

01 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Mercier, Jean-Paul

01 Feb 2008;

Cease-trade order
Prohibition to act as counselor

Ruse, Brian

24 Jan 2008;

Freeze order
Cease-trade order
Prohibition to act as counselor

Mizrahi, David

24 Jan 2008;

Freeze order
Cease-trade order
Prohibition to act as counselor

Papadopoulos, Themistoklis

21 Dec 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Papathanasiou, Anna

21 Dec 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Mignacca, Franco

21 Dec 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Jekkel, Joseph

21 Dec 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Bright, Mario

21 Dec 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Coombes, Kevin

21 Dec 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Chartrand, Gilbert

18 Dec 2007;

Guilty on 3 counts

Nadeau, Jacques

14 Dec 2007;

Cease-trade order

Leblond, Réjean

14 Dec 2007;

Cease-trade order

Balayer, Christophe

12 Dec 2007;

Fine

Talbot, Louis

12 Dec 2007;

Fine

Lacroix, Vincent

11 Dec 2007;

Guilty on 51 counts

Chouinard, Louis

09 Dec 2007;

Fine

Di Stefano, Rocco

30 Nov 2007;

Cease-trade order
Prohibition to act as a counselor

Beaudin-Amyot, Monique

27 Nov 2007;

Cease-trade order

Lafrenière, Léo

27 Nov 2007;

Cease-trade order

Savard, Denis

29 Nov 2007;

Administrative penalty

Couture, Pierre

01 Nov 2007;

Cease-trade order
Prohibition to act as counselor

Provost, Claude-Yvon

01 Nov 2007;

Cease-trade order
Prohibition to act as counselor

Lacroix, Victor

30 Oct 2007;

Fine

Ferruci, Armando

30 Oct 2007;

See reference documents / Voir documents de référence

Séguin, Louis-Philippe

22 Oct 2007;

Fine

Desbiens, Jean

04 Oct 2007;

Administrative penalty
Cease-trade order

Grand-Maison, Mario

18 Sep 2007;

See reference documents / Voir documents de référence

Cardinal, Guy

14 Sep 2007;

Fine

Pelletier, Paquerette

05 Jun 2007;

Fine

Dardy, Jean-Jacques

01 Jun 2007;

Fine

Demers, Nathaly

20 Sep 2007;

Cease-trade order

Bréard, Raymond

20 Sep 2007;

Cease-trade order

Charbonneau, Claude

20 Sep 2007;

Cease-trade order

Chandler, Patricia Ann

20 Sep 2007;

Cease-trade order

Demers, Stevens

20 Sep 2007;

Cease-trade order

Demers, Ronald

20 Sep 2007;

Cease-trade order

Galipeau, Michel

17 Sep 2007;

Guilty on 10 counts

Bassiri, Ali Reza

28 Sep 2007;

See reference documents / Voir documents de référence

Turp, Gérald

21 Aug 2007;

Cease-trade order

Bouchard, Normand

20 Jun 2007;

Administrative penalty

L'Italien, Michel

31 May 2007;

Freeze order
Cease trade order

L'Italien, Berchmans

31 May 2007;

Freeze order
Prohibition to act as counselor
Cease trade order

L'Italien, Lisette

31 May 2007;

Freeze order
Prohibition to act as counselor
Cease trade order

L'Italien, Pauline

31 May 2007;

Freeze order
Cease trade order

Basso, Sylvie

31 May 2007;

Freeze order
Prohibition to act as counselor

Rousseau, Fleurette

31 May 2007;

Freeze order
Prohibition to act as counselor

Béliveau, Michelle

31 May 2007;

Freeze order
Prohibition to act as counselor

Matthews, Earl Bertram

07 Sep 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Briand, Reyanne

07 Sep 2007;

Freeze order
Cease-trade order
Prohibition to act as counselor

Charron, Guy

27 Feb 2007;

Freeze order
Cease trade order

Lanthier, Richard

27 Feb 2007;

Freeze order
Cease trade order
Prohibition to act as a counselor

Gauthier, Huguette

16 Apr 2007;

Freeze order

Rolland, Martial

03 Apr 2007;

Fine

Jones, Robert

28 Mar 2007;

Fine

Longpré, Sylvie

12 Jan 2007;

Cease-trade order
Prohibition to act as a broker

Lavoie, Simon

12 Jan 2007;

Cease-trade order
Prohibition to act as a broker

Lavoie, Sylvie

12 Jan 2007;

Cease-trade order

Guimond, Chantal

12 Jan 2007;

Cease-trade order

Delisle, Marc

12 Jan 2007;

Cease-trade order

Lachance, Marco

12 Jan 2007;

Cease-trade order

Francoeur, André

12 Jan 2007;

Cease-trade order

Sillis, Gérard

12 Jan 2007;

Cease-trade order

Trudel, Danielle

12 Jan 2007;

Cease-trade order

Brault, Aline

12 Jan 2007;

Cease-trade order

Labarre, Maryse

12 Jan 2007;

Cease-trade order

Balgé, Suzanne

12 Jan 2007;

Cease-trade order

Lavigne, Claude

10 Jan 2007;

Fine

Bevis, Christopher John

01 Sep 2004;

Proof of Conduct & Practices Course before being registered again

Jung, Henry

19 Jan 2009;

ceasing trading
registrant, investment fund manager/promoter ban
prohibit from acting in a management or consultative capacity in connection with activities in the securities market
prohibit from engaging in investor relations activities
prohibit from becoming or acting as a director or officer of any issuer/registrant or investment fund manager
resign any position he holds as a director or officer of an issuer/registrant or investment fund manager

Riis, Nelson

29 Jan 2009;

prohibited from becoming or acting director/officer of any issuer (with conditions)
prohibited from engaging in investor relations activities (with conditions)

William, Malone

29 Jan 2009;

prohibited from becoming or acting as a director or officer of any issuer (with conditions)
prohibited from engaging in investor relations activities (with conditions)

Koswin, Ricky Nicholas

02 Oct 2008;

6 Months Imprisonment

Mihai (Mike), Vasilica

28 Feb 2008;

3 Year Probation with Conditions
Suspended Sentence
Restitution

Hybschmann, Han-Ove

11 Oct 2007;

90 days Imprisonment (On Appeal)

Conrad, Everett

04 Apr 2007;

6 Months Imprisonment
12 Month Probation With Conditions
Restitution

Hybschmann, Han-Ove

22 Feb 2007;

6 months Imprisonment

Hodgson, Donald George

22 Jan 2007;

3 Year Probation With Conditions
Fine (Jointly with Gerald Gordon Hodgson

Hodgson, Gerald Gordon

22 Jan 2007;

3 Year Probation With Conditions
Fine (Jointly with Donald George Hodgson)

Krehbiel, Kimberly B.

16 Dec 2005;

Fine

Perch, Gary Peter

10 Nov 2005;

10 Months Imprisonment
12 Months Probation
Securities Industry Ban
Securities Trading Ban

Reeves, Troy

01 Nov 2005;

Fine

Bennett, Robert Wayne

25 May 2007;

6 Months Imprisonment

Bergen, Peter

18 Aug 2005;

Fine

Olfert, John

30 Jun 2005;

Fine

Driedger, Kenneth Murray

26 Apr 2005;

Fine

Oliver, Paul Norman

21 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts until June 9, 2015 (with exceptions)
prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in the securities market
prohibited from engaging in investor relations activities

Syme, Robert

24 Mar 2005;

Fine

Undiks, Josays Ojars

20 Jan 2005;

Fine

De Escobar, Shirleena Manchur

19 Nov 2004;

Fine

Waxman, Robert

21 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts until January 8, 2018
prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in the securities market
prohibited from engaging in investor relations activities

Mallinson, William M

21 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions)
prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager (with exceptions)
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in the securities market
prohibited from engaging in investor relations activities

Morrison, Charles

12 May 2004;

Suspended Sentence - 2 Years Less a Day
Probation Order

Kalapaca, Robert Walter

19 Mar 2004;

30 days Imprisonment

Castaneda, Jose L.

21 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts
prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in the securities market
prohibited from engaging in investor relations activities

Werbeniuk, Donald Mark

12 Dec 2003;

4 Months Imprisonment

Simpson, David

30 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions)
prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in the securities market
prohibited from engaging in investor relations activities

Andrew, Norman W.

29 Oct 2003;

Fine
Costs and Surcharges

Sentes, Dean William

07 Oct 2003;

Fine

Xavier, Jerome Stanislaus

30 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions)
prohibited from becoming or acting as, a director or officer of an issuer, registrant or investment fund manager (with exceptions)
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in the securities market
prohibited from engaging in investor relations activities

Dyck, Carl James

17 Oct 2003;

Fine

NILES, Harry

22 Jan 2009;

Joseph (formerly Todd), Barbara Caroline

02 Sep 2003;

Suspended Sentence
4 Months Probation - With Conditions

DREVER, Lorne

22 Jan 2009;

Gu, Liedong (Leon)

21 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions)

Stewart, Bruce Jeffrey

02 Sep 2003;

Warning Letter

MacDougall, Blair

21 Jan 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions)

Taylor, Andrew Lennox

07 Feb 2003;

Fine

Heidebrecht, Sheldon Terry

28 May 2008;

Denial of Exemptions
Director/Officer Ban

Sookram (aka Sookrum), Ryan

31 Jan 2008;

Costs

Morrison, Charles

30 Jan 2008;

Penalty and Costs

Sonego, Eric

12 Dec 2007;

Denial of Exemptions
Penalty and Costs

Lewis, Josephus Delacore

12 Dec 2007;

Penalty and Costs
Denial of Exemptions

Janzen, Ernest David

03 Apr 2002;

Denial of Exemption

Janzen, Ernest David

22 Mar 2002;

Fine

Janzen, Ernest David

13 Jun 2001;

Extension of Denial of Exemptions

Kreker, Nick

19 Oct 2001;

Fine

Birch, Michael

08 Jun 2001;

Fine

Janzen, Ernest David

01 Jun 2001;

Temporary Denial of Exemptions

Davis, Billy

19 Feb 2003;

Denial of Exemptions

Stewart, Bruce Jeffrey

19 Feb 2003;

Denial of Exemptions

Janzen, Ernest David

29 Nov 2002;

Extension of Time for Payment

Szuminsky, Stefan

06 Nov 2002;

See reference documents / Voir documents de référence

Szuminsky, Stefan

23 Oct 2002;

Cease Trade

Sagert, Franklin Mark Cameron

23 Oct 2002;

Written Reprimand
Penalty and Costs
Registration Supervision
Course Requirement

Birch, Michael

23 May 2002;

Denial of Exemptions

Fischer, Michael R.

18 Apr 2002;

Denial of Exemptions
Banned Indefinite

Lear, Daniel Kingsley (aka Lear, Sir Daniel Kingsley and Swim, Ralph Merle

10 Apr 2002;

Denial of Exemptions
Permanent Ban

Stewart, Bruce Jeffrey

05 Jun 2003;

Amendment of Date

Worley, John Winston

22 May 2003;

Denial of Exemptions

Janzen, Ernest David

25 Mar 2003;

Extension of Time for Payment

Knee, Darin R.

06 Mar 2003;

Denial of Exemptions

Tanner, Larry W.

06 Mar 2003;

Denial of Exemptions

Davis, Billy

06 Mar 2003;

Denial of Exemptions

Tanner, Larry W.

19 Feb 2003;

Denial of Exemptions

Knee, Darin R.

19 Feb 2003;

Denial of Exemptions

Tanner, Larry W.

20 Aug 2003;

Denial of Exemptions
Costs

Knee, Darin R.

20 Aug 2003;

Denial of Exemptions
Costs

Davis, Billy

20 Aug 2003;

Denial of Exemptions

Taylor, Andrew Lennox

23 Jul 2003;

See reference documents / Voir documents de référence

Ratuski, Murray Edwin

05 Jun 2003;

Written Reprimand
Penalty and Costs
Registraton Supervision
Course Requirement

Tanner, Larry W.

04 Jun 2003;

Denial of Exemptions

Knee, Darin R.

05 Jun 2003;

Denial of Exemptions

Davis, Billy

05 Jun 2003;

Denial of Exemptions

Stewart, Bruce Jeffrey

06 Mar 2003;

Denial of Exemptions - Indefinite

Ratuski, Murray Edwin

05 Nov 2003;

Payment Extension

Morrison, Charles

24 Nov 2003;

Denial of Exemptions

Sentes, Dean William

26 Nov 2003;

Denial of Exemptions

Didur, Ann

15 Oct 2003;

Denial of Exemptions

Didur, Ann

01 Oct 2003;

Denial of Exemptions

Vlaovic, Djordie (George)

23 Sep 2003;

Denial of Exemptions - Indefinite
Costs

Holeman, Jon Wayne

25 Aug 2004;

Penalty and Costs

Reid, John Lawrence

28 Apr 2004;

Written Reprimand
Penald and Costs
Registration Supervision
Course Requirement

Joseph (formerly Todd), Barbara Caroline

21 Apr 2004;

Denial of Exemptions

Napper, Robert Charles

27 Feb 2004;

1 Year Probation - With Conditions
Written Reprimand

Ratuski, Murray Edwin

18 Feb 2004;

Payment Extension

Hollo, George

13 Feb 2004;

Written Reprimand
Costs

Didur, Ann

28 Jan 2004;

Extension of Denial of Exemptions

Reid, John Lawrence

18 Feb 2005;

Course Requirement Extension

McKay, Iris Margaret

01 Feb 2005;

Written Reprimand
Penalty

Dobbin, Bret Allan

15 Dec 2005;

Temporary Denial of Exemptions

Undiks, Josays Ojars

18 Nov 2005;

Denial of Exemptions
Restitution

Stuart, Marilyn Dianne

28 Oct 2005;

See reference documents / Voir documents de référence

Fulkco, Wallace (Wally) Gerard

13 Aug 2008;

Reciprocal
10 Year Trading Ban With Condition
10 Year Director/Officer Ban
10 Year Investor Relations Ban

Eshun, Ingram Jeffrey

20 Nov 2006;

Restitution
Penalty
Denial of Exemptions

Bennett, Robert Wayne

28 Jun 2006;

Denial of Exemptions

Dobbin, Bret Allan

25 Jan 2006;

Denial of Exemptions
Penalty and Costs

Driedger, Kenneth Murray

29 Jan 2006;

Denial of Exemptions
Restitution

Sookram (aka Sookrum), Ryan

17 Oct 2007;

Denial of Exemptions
Penalty
Restitution

Didur, Ann

06 Jun 2007;

Notice of Termination of Hearing

Syme, Robert

12 Feb 2007;

Denial of Exemptions

McCord, Jeffrey David

31 Jan 2007;

Penalty and Costs

Waitt, Thomas

09 May 2001;

Written Reprimand
Payment

Yaworski, James Peter

25 Apr 2001;

Denial of Exemptions
Costs

Tetrault, Roland Emile

15 Jan 2001;

Written Reprimand
Costs

Stier, Christian

10 Jan 2001;

Denial of Exemptions

Klassen, Gregory David

20 Dec 2000;

See reference documents / Voir documents de référence

Chomichuk, Walter Gregory

01 Dec 2000;

Fine

Finley, David Wayne

17 May 2001;

Reprimand on File
CSI Conduct and Practices Course Exam
Costs

Dyck, Carl James

01 Nov 2000;

Permanent Ban
Suspension of Registration

Lacquement, Rick Gordon

27 Sep 2000;

Denial of Exemptions

Banek, Barry

07 Sep 2000;

Denial of Exemptions
Costs

Rattai, Shawn

07 Sep 2000;

Denial of Exemptions
Costs

Sellors, Richard Michael

31 May 2000;

Written Reprimand
Payment
Costs

Provak, Thomas Kenneth

10 May 2000;

Denial of Exemptions

Brosowsky, Ernest Henry

05 May 2000;

Suspension of Registration
6 Month Registration Supervision
Costs

Gamble, Denis Wayne

20 Apr 2000;

Completion of Course Requirements
6 Month Registration Supervision
Payment and Costs

Poitras, Kip

26 Jan 2000;

Denial of Exemptions

Rothschild, Simon Meyer

30 Mar 2000;

Denial of Exemptions

De Rothschild, Simon

30 Mar 2000;

Denial of Exemptions

Rothschild, Dean George

30 Mar 2000;

Denial of Exemptions

McDonald, Dean George

30 Mar 2000;

Denial of Exemptions

Costello, David Michael

30 Mar 2000;

Denial of Exemptions

Weinstein, Simon Elah

30 Mar 2000;

Denial of Exemptions

Sidiropoulos, Michael

25 Jan 2000;

Denial of Exemptions - Indefinite
Costs

Anderson, Gregory David

07 Oct 1999;

2 Year Registration Suspension
2 Year Denial of Exemptions
Costs

Blerot, Gerald Wilfrid

16 Jan 2004;

Denial of Exemptions
Costs

Blerot, Gerald Wilfrid

12 Jan 2004;

See reference documents / Voir documents de référence

Blerot, Gerald Wilfrid

22 Aug 2003;

Denial of Exemptions

Blerot, Gerald Wilfrid

05 Jun 2003;

See reference documents / Voir documents de référence

Blerot, Gerald Wilfrid

19 Feb 2003;

See reference documents / Voir documents de référence

Blerot, Gerald Wilfrid

06 Mar 2003;

Denial of Exemptions - Indefinite

Anderson, Benhard Andrew

24 Mar 2009;

7 year director/officer ban

Bartel, Robert Vincent

20 Jun 2008;

7 year trading ban with conditions
7 year denial of exemptions
7 year director/officer ban

Bayne, Vincent

25 Jan 2008;

3-year trading ban with conditions
3 year denial of exemptions

Broers, Daren M

16 Jan 2009;

10 year trading ban with conditions
10 year director/officer ban with conditions
10 year denial of exemptions

Bromley, Ralph

07 Jul 2008;

5 year Director/Officer ban with conditions
5 year trading ban
5 year denial of exemptions

Byer, Daniel Eric

12 Feb 2009;

Permanent trading ban
Permanent director/officer ban

Cadman, Ron

22 Jul 2008;

2 year Director/officer ban

Cadman, Travis

22 Jul 2008;

2 year Director/officer ban

Campbell, David C.

12 Dec 2007;

8 year trading ban
8 year denial of exemptions
8 year director/officer ban

Campbell, Wesley

07 Jul 2008;

2 year Director/Officer ban with conditions
2 year trading ban
2 year denial of exemptions

Cassidy, Dianna

06 Nov 2007;

3 year trading ban including exchange contracts
3 year denial of exemptions

Chartrand, Luc

06 Feb 2009;

See reference documents / Voir documents de référence

Clynes, Rick

12 Dec 2007;

3 year trading ban
3 year denial of exemptions

Cochrane, Patrick

31 Oct 2005;

2 year trading ban
2 year denial of exemptions

Cochrane, Patrick

12 Mar 2008;

10 year trading ban with conditions
10 year director/officer ban

da Silva, Carlos A.

12 Dec 2007;

10 year trading ban
10 year denial of exemptions
10 director/officer ban

da Silva, Abel

29 Oct 2008;

Trading ban for as long as OSC Order in effect

Dawson, Walter A.

06 Feb 2009;

See reference documents / Voir documents de référence

De Vries, John

07 Jul 2008;

17 year Director/Officer ban
17 year trading ban
17 year denial of exemptions

Drever, Lorne

05 Nov 2008;

Trading bran

Fulkco, David John

06 Nov 2008;

15 year trading ban with conditions
15 year director/officer ban

Fulkco, Wallace

06 Nov 2008;

10 year trading ban with conditions
10 year director/officer ban

Funt, Alexander

04 Feb 2009;

Trading Ban
Denial of exemptions
Director/officer ban

Gardner, Ron aka Ron Garner

06 Nov 2007;

5 year trading ban including exchange contracts
5 year denial of exemptions

Geller, Robert

06 Nov 2007;

3 year trading ban including exchange contracts
3 year denial of exemptions

Gerlitz, John G.

06 Feb 2009;

See reference documents / Voir documents de référence

Ghazar, Vincent Emile

12 Feb 2009;

3 year officer ban

Golic, Adis (aka Ady)

29 Dec 2008;

Trading ban
Denial of Exemptions
Director/officer ban

Grafke, Ernest Reed

07 Jul 2008;

15 year Director/Officer ban
15 year trading ban
15 year denial of exemptions

Grossman, Abraham Herbert (aka Grossman, Al or Allen)

06 Nov 2007;

20 year trading ban including exchange contracts
20 year denial of exemptions
20 year director/officer ban

Grossman, Abraham Herbert (aka Grossman, Al or Allen)

29 Oct 2008;

Trading ban

Grossman, Abraham Herbert (aka Grossman, Al or Allen)

05 Aug 2008;

Permanent trading Ban
Permanent denial of exemptions

Gu, Liedong

04 Nov 2008;

3 year trading ban with conditions
3 year denial of exemptions

Hennig, Theodore

18 Dec 2008;

20 year trading ban including exchange contracts
20 year denial of exemptions
Permanent director/officer ban

Jeffery, James Albert

13 Aug 2008;

5 year denial of exemptions with conditions
5 year director/officer ban

Kearl, Richard George

13 Aug 2008;

2 year denial of exemptions with conditions

Kearl, Richard George

25 Jan 2008;

15-year trading ban with conditions
15-year director/officer ban

Kearl, Richard George

26 Oct 2006;

5 year trading ban with conditions

Kuhn, Brian Paul

07 Apr 2008;

18 month trading ban with conditions
5½ year denial of exemptions

Lavallee, Lambert "Bert"

07 Feb 2008;

5 year trading ban with conditions
5 year denial of exemptions
5 year director/officer ban

Lawler, Timothy Michael

05 Mar 2008;

6 month trading ban with conditions
6 month denial of exemptions with conditions

Leemhuis, Adrian Samuel

10 Oct 2008;

Trading ban
Denial of Exemptions

MacPherson, Gregory Daniel

10 Apr 2008;

3 year trading ban with conditions
3 year denial of exemptions
3 year director/officer ban

Stevenson, Malcolm Cameron Boyd

12 Feb 2009;

Trading ban
Director/officer ban

Mallinson, William

22 Oct 2008;

8 year trading ban with conditions
8 year denial of exemptions
8 year director/officer ban with conditions

McCarty, Tim

12 Dec 2007;

3 year trading ban
3 year denial of exemptions

McNabb, Wyatt Gordon

25 Jan 2008;

5-year trading ban with conditions
5 year denial of exemptions
5-year director/officer ban with conditions

Moore, Jacob

12 Dec 2007;

5 year trading ban and exchange contracts
5 year denial of exemptions

Morrison, Suzanne

04 Feb 2009;

10 year trading ban with conditions
10 year Director/officer ban

Nesbitt, Andrew Douglas

25 Jan 2008;

10-year director/officer ban with conditions

Novielli, Lino

20 Oct 2008;

Trading Ban
Denial of Exemptions

Oliver, Paul Norman

09 Jun 2008;

7 year trading ban with conditions
1 year director/officer ban
7 year denial of exemptions

Pinkett, Preston (II)

12 Feb 2009;

Trading ban
Director/officer ban

Rash, Howard

04 Feb 2009;

Trading Ban
Director/officer ban

Reisner, Sidney John

10 Apr 2008;

3 year trading ban with conditions
3 year denial of exemptions
3 year director/officer ban

Repke, Thomas Edward

13 Aug 2008;

5 year denial of exemptions with conditions
5 year director/officer ban

Rivers, Gregory William

28 Jul 2008;

12 year trading ban with conditions
12 year denial of exemptions
12 year Director/officer ban

Rogers, Malcolm

04 Feb 2009;

3 year Director/Officer ban with conditions

Rouse, William

06 Nov 2007;

3 year trading ban including exchange contracts
3 year denial of exemptions

Savage, Michael James

04 Mar 2009;

10 year denial of exemptions
10 year Director/Officer ban with conditions

Sayers, Carol Jean

13 Jun 2008;

10 year trading ban with conditions
10 year denial of exemptions
10 year director/officer ban

Sayers, Jennifer Dawn

13 Jun 2008;

7 year trading ban with conditions
7 year denial of exemptions
7 year director/officer ban

Sayers, Ryan Kristen

13 Jun 2008;

15 year trading ban with conditions
15 year denial of exemptions
15 year director/officer ban

Scott, Jeffrey J.

06 Feb 2009;

See reference documents / Voir documents de référence

Simonsen, Ove

12 Dec 2007;

5 year trading ban
5 year denial of exemptions

Starr, Patrick

03 Jul 2007;

3 year trading ban with conditions
3 year Director/Officer ban

Steele, Kevin Jason

06 Nov 2008;

Trading ban with conditions
Director/officer ban

Stevenson, Leslie Ryan

17 Feb 2009;

4 year officer ban

Theodoropoulos, George (aka Theodore, George)

08 Feb 2008;

Trading ban
Denial of exemptions

Thow, Ian Gregory

27 Mar 2008;

Trading ban
Suspension of registration
Denial of exemptions

Tripp, Russell John

18 Dec 2008;

6 month Director/Officer ban

Ulfan, Hank

12 Dec 2007;

7 year trading ban and exchange contracts
7 year denial of exemptions

Wilson, McDonald Scott

06 Feb 2009;

See reference documents / Voir documents de référence

Workum, Peter Jay (or J.)

18 Dec 2008;

Trading ban including exchange contracts
Denial of exemptions
Director/Officer ban

Brost, Milowe

22 Apr 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions) permanently
resign from and prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager permanently
prohibited from becoming or acting as a registrant, investment fund manager or promoter permanently
prohibited from acting in a management or consultative capacity in connection with activities in securities market permanently
prohibited from engaging in investor relations activities permanently

Forrest, Edna

22 Apr 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions) until July 10, 2027
resign from and prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager permanently
prohibited from becoming or acting as a registrant, investment fund manager or promoter permanently
prohibited from acting in a management or consultative capacity in connection with activities in securities market permanently
prohibited from engaging in investor relations activities permanently

Regier, Bradley

22 Apr 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions) until July 10, 2027
resign from and prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager permanently
prohibited from becoming or acting as a registrant, investment fund manager or promoter permanently
prohibited from acting in a management or consultative capacity in connection with activities in the securities market permanently
prohibited from engaging in investor relations activities permanently

Weeks, Carol

22 Apr 2009;

cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions)
resign from and prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager
prohibited from becoming or acting as a registrant, investment fund manager or promoter
prohibited from acting in a management or consultative capacity in connection with activities in securities market
prohibited from engaging in investor relations activities

Cornwall, John Alexander

03 Apr 2009;

resign from and prohibited from becoming or acting as, a director or officer of any issuer, registrant or investment fund manager permanently
prohibited from becoming or acting as a registrant, investment fund manager or promoter permanently
prohibited from acting in a management or consultative capacity in connection with activities in securities market permanently
prohibited from engaging in investor relations activities permanently
any or all of the exemptions described in sections 44 to 47, 74, 75, 98 and 99 do not apply to Cornwall, except for tose exemptions necessary to enable Cornwall to trade and purchase securiteis as permitted in this order
cease trading in and is prohibited from purchasing securities and exchange contracts (with exceptions) permanently

Michaels, Gary Warren

27 Apr 2009;

3 year trading ban with conditions
3 year denial of exemptions
1 year director ban

Reynolds, Randy

15 Apr 2009;

3 Year Branch Manager Ban
Completion of Course Requirements

Griffiths, John David

15 Apr 2009;

Denial of Exemptions

Andrew, Norman W.

02 Dec 2004;

4 Year Denial of Exemptions

Brazzell, Gary

31 Mar 2005;

Penalty and Costs

Morse, Robert

03 Apr 2002;

1 Year Trading Ban
Payment of Costs

Kimmel Jr, Roger A.

14 Jan 2009;

Denial of Exemptions

Goh, Heng

13 May 2009;

Denial of Exemptions

Griffith, Charles Edward

15 Jul 2005;

Denial of Exemptions
Restitution

Johnson, Alvin Lee

13 May 2009;

Reciprocal
Cease Trade
Director/Officer Ban
Permanent Ban with Conditions

Jung, Henry

13 May 2009;

Reciprocal
Cease Trade
Director Officer Ban with Conditions

Kelly, Ralph Bartholemew

13 May 2009;

Reciprocal
Cease Trade
Permanent Ban

Rankin, Andrew Stuart Netherwood

14 Jan 2009;

Cease Trade
Director/Officer Ban

Rempel, Enrique (a.k.a. Henry Rempel)

12 Dec 2007;

Reciprocal
12 Year Trading Ban with Condition
12 Year Director/Officer Ban with Condition
12 Year Investor Relations Ban

Schwab, Victor

13 May 2009;

Reciprocal
Cease Trade
20 Year Director/Officer Ban

Conrad, Everett

18 Jun 2009;

See reference documents / Voir documents de référence

Funt, Alexander

10 Jun 2009;

Reciprocal Order
Permanent Ban
Cease Trade

Rash, Howard

10 Jun 2009;

Reciprocal Order
Cease Trade
Permanent Ban

Torudag, Kegam Kevin

18 Jun 2009;

1-year trading ban with conditions

Chan, Lai Lai

18 Jun 2009;

1-year trading ban with conditions
1-year director/officer ban with conditions

Paterson, John Gregory

24 Jun 2009;

Permanent trading ban with conditions
Permanent director/officer ban with conditions
Permanent ban from acting in a managing or consultative capacity in connection with activities in the securities market
Permanent investor relations ban
An undertaking for life not to act as a Qualified Person, for any issuer

Heidebrecht, Sheldon Terry

03 Mar 2009;

See reference documents / Voir documents de référence

Zelyony, Michael

07 Jul 2009;

5-year ban from becoming or acting as a director or officer of an issuer, registrant or investment fund manager
5-year ban from becoming or acting as a registrant, investment fund manager or promoter
5-year ban from acting in a management or consultative capacity in connection with activities in the securities market
5-year ban from engaging in investor relations activities

Stevenson, Leslie Ryan

09 Jul 2009;

4-year ban from becoming or acting as an officer of any issuer, registrant or investment fund manager
4-year ban from becoming or acting as a registrant, investment fund manager or promoter

Smith, Christopher

07 Jul 2009;

22 Oct 2009;

Permanent ban from purchasing and trading in securities or exchange contracts
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

McMordie, Kenneth Robert (aka Fox, Byrun)

22 Oct 2009;

23 Dec 2009;

1 year trading ban with conditions
2 year trading ban with conditions

Michopoulos, Konstandino

21 Jan 2010;

4-year ban from purchasing and trading in securities or exchange contracts with conditions
3-year director/officer ban
An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations

Kyllo, Cheryl Anne

20 Jan 2010;

4-year ban from trading in any securities for which exemptions to the Act are relied on or available (with conditions)

06 Apr 2000;

See Order / Voir ordonnance

Dzambazov, John

14 Apr 2000;

See order / Voir ordonnance

Maxwell, William Norman

14 Apr 2000;

See order / Voir ordonnance