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OSC Settlement with Irwin Boock

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PhillyPA65   Wednesday, 02/15/12 10:01:15 PM
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OSC Settlement with Irwin Boock

http://www.osc.gov.on.ca/en/Proceedings_rad_20120210_boocki.htm

http://www.osc.gov.on.ca/documents/en/Proceedings-RAD/rad_20120210_boocki.pdf

Date of Order or Settlement: February 10, 2012

Sanctions
Director/Officer/Supervisor Ban
Trading ban with or without conditions
Administrative Penalty/Fine
Registration ban/restrictions
Reprimand
Disgorgement/Restitution
Acquisitions ban
Exemption inapplicable

Payment Agreed/Ordered
Administrative Penalty/Pénalités administratives $70,000; Disgorgement/Remise de sommes $145,300; Costs/Frais $55,000
Violations Fraud/Forgery/Falsification
Market Manipulation

Supporting Documents
Order (English)
http://www.osc.gov.on.ca/purl?id=34888&lang=en

http://www.securities-administrators.ca/disciplinedpersons.aspx

The SEC won a default against Mr. Boock on March 26, 2010, and has been attempting to obtain his banking records in Canada for several months to help determine his penalty. The regulator has complained several times about little co-operation from Mr. Boock in obtaining the records, and recently sought the assistance of the Ontario courts.

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