Friday, August 22, 2014 7:36:17 AM
He is also prohibited, for the same period, from becoming or acting as a registrant or promoter, from engaging in investor relations activities, and from acting in a management or consultative capacity in connection with the securities market.
Chua was also ordered to pay to the commission the US$58,500 obtained as a result of his and Oriens’ misconduct. He and Oriens are jointly and severally liable for this amount. Furthermore, Chua was ordered to pay an administrative penalty of $35,000.
British Columbia Securities Commission News Release
Released: August 21, 2014 NR 14-70
BCSC panel sanctions two B.C. residents for illegally distributing securities and breaching a cease trade order
http://www.bcsc.bc.ca/Inc/ViewDoc.asp?DocNum=O7X7L6R5N7N4M7J9K6HDB7G5Y7B3&s=False
2. The entry of an order, judgment, or decree not subsequently reversed, suspended or vacated, by a court of competent jurisdiction that permanently or temporarily enjoined, barred, suspended or otherwise limited such a person’s involvement in any type of business, securities, commodities, or banking activities;
None of the foregoing persons have been the subject of any order, judgment, or decree, that permanently or temporarily enjoined, barred, suspended or otherwise limited such a person?s involvement in any type of business, securities, commodities, or banking activities.
3. A finding or judgment by a court of competent jurisdiction (in a civil action), the SEC, the CFTC, or a state securities regulator of a violation of federal or state securities or commodities law, which finding or judgment has not been reversed, suspended, or vacated;
None of the foregoing persons have been the subject of any finding or judgment by a court of competent jurisdiction (in a civil action), the SEC, the CFTC, or a state securities regulator of a violation of federal or state securities or commodities law.
4. The entry of an order by a self-regulatory organization that permanently or temporarily barred suspended or otherwise limited such person's involvement in any type of business or securities activities.
None of the foregoing persons have been the subject of any order by a self-regulatory organization that permanently or temporarily barred, suspended or otherwise limited such person?s involvement in any type of business or securities activities.
http://www.otcmarkets.com/financialReportViewer?symbol=OTHM&id=125580
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