Keyword: Illegal distributions

91 results found

Donald Nason banned from trading and acting as an advisor

  • By: IE Staff
  • October 22, 2015 December 19, 2017
  • 15:45

The charges stem from the illegal sale of Locate Technologies Inc. securities

  • By: IE Staff
  • September 30, 2015 December 19, 2017
  • 13:00

However, allegations of fraud against Yong and his two firms were not proven at the BCSC’s hearing

  • September 28, 2015 December 19, 2017
  • 09:00

The charges are in connection with the securities of Asia Global Energy Ltd. and Enviro Global Securities Corp.

Two directors of HRG Healthcare Research Group found liable

Portfolio Capital, David Rogerson and Amy Hanna-Rogerson were banned permanently and sanctioned for various infractions

Following a settlement earlier this year, Michelle Dunk has been charged with alleged breaches of the Securities Act in a separate case

Blain Russell Kennedy was the second Alberta man to plead guilty in the distribution of Lucid Group securities

Chandran companies raised $39 million from more than 200 investors

Global Group of Companies raised $11.7 million without filing a prospectus: BCSC