Investment dealer and rep admit to breaching Raven Gold CTO
IIROC bans on brokers with criminal records are overturned by the securities regulator
The British Columbia Securities Commission has settled with John Gregory Paterson, the former president and CEO of Southwestern Resources Corp., who admitted to fraud and illegal insider trading.In the BCSC settlement agreement, Paterson admitted that he committed fraud when he entered false assay results related to Southwestern’s Boka project in China into the company’s database. […]
Pair illegally purchased shares of Icon Industries
No prospectuses filed for Moenkopi Resources, Frey Mining, and Mercury Capital
The British Columbia Securities Commission has set aside a permanent ban that the Investment Industry Regulatory Organization of Canada (IIROC) imposed on a former registrant who failed to disclose a criminal charge in registration documents.In 2004, an IIROC panel found that Kianosh Rahmani breached two bylaws when he did not disclose that he was subject […]
Golden Capital Securities Ltd. intends to seek leave to appeal a British Columbia Securities Commission panel decision to uphold disciplinary action taken by the Investment Industry Regulatory Organization of Canada (IIROC) against the firm, IIROC said Monday.In late 2007 and early 2008, an IIROC hearing panel found that Golden Capital contravened IIROC bylaws by withholding […]
British Columbia Securities Commission panels have reciprocated enforcement orders against five individuals sanctioned by securities commissions in Alberta and Ontario.The Alberta Securities Commission imposed sanctions on Milowe Brost, Edna Forrest, Carol Weeks and Bradley Regier in a decision rendered July 10, 2007 in Capital Alternatives Inc., Re, 2007 ABASC 482. The BCSC panel reciprocated the […]
Read the risk disclosure in the offering memorandum, regulators advise
Penalty and costs called “reasonable and appropriate”