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A L B E R T A S E C U R I T I E S C O M M I S S I O N
S.A. 1981, c.S-6.1, as amended (the “Act”)
IN THE MATTER OF Mountainside Ginseng Limited, Loren Yasinski,
Lee Yasinski, Sheila Yasinski and James Stewart
SETTLEMENT AGREEMENT AND UNDERTAKING INTRODUCTION
The Agency of the Alberta Securities Commission (the “Agency”) conducted an investigation between June and October, 1993 into allegations that the Respondents traded in securities in Alberta without complying with the requirements of the Act or regulations under the Act (the “Regulation”); and
the Chief of Securities Administration and the Respondents have agreed to resolve the allegations against each of them in this matter based on the terms and conditions set out below.
STATEMENT OF AGREED FACTS
Mountainside Ginseng Limited (“Mountainside”) was incorporated under the laws of Alberta on February 23, 1993 and at all material times its directors were Lee Yasinski, Sheila Yasinski and James Stewart;
between August, 1992 and March, 1993, Mountainside and Loren Yasinski traded in securities, namely in common shares and in joint venture investment units, with 3 Alberta residents where such trades were distributions, without being registered as required by subsection 54(1) of the Act and without a preliminary prospectus and a prospectus having been filed with the Agency and receipts obtained therefor, contrary to subsection 81(1) of the Act; and
Lee Yasinski, Sheila Yasinski and James Stewart knew of and acquiesced in the trading and distribution of securities described above, contrary to subsections 54(1), 81(1) and 161(4) of the Act.
SETTLEMENT TERMS
3.1. each of the Respondents hereby undertakes to the Chief of Securities
Administration that he/she will diligently comply with the Act henceforth;
each of the Respondents hereby agree to pay the Provincial Treasurer the combined sum of $500.00;
each Respondent hereby waives any rights each may have under the Act, or otherwise, to a hearing, hearing and review, judicial review or appeal related to, in connection with or incidental to this Settlement Agreement and Undertaking.
SETTLEMENT TERMS
3.1. each of the Respondents hereby undertakes to the Chief of Securities
Administration that he/she will diligently comply with the Act henceforth;
each of the Respondents hereby agree to pay the Provincial Treasurer the combined sum of $500.00;
each Respondent hereby waives any rights each may have under the Act, or otherwise, to a hearing, hearing and review, judicial review or appeal related to, in connection with or incidental to this Settlement Agreement and Undertaking.
SETTLEMENT TERMS
3.1. each of the Respondents hereby undertakes to the Chief of Securities
Administration that he/she will diligently comply with the Act henceforth;
each of the Respondents hereby agree to pay the Provincial Treasurer the combined sum of $500.00;
each Respondent hereby waives any rights each may have under the Act, or otherwise, to a hearing, hearing and review, judicial review or appeal related to, in connection with or incidental to this Settlement Agreement and Undertaking.
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