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Michelle Dunk charged quasi-criminally with fraud, unregistered trading

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Staff Writer |
OSC
Canada   Trading without registration

The Ontario Securities Commission (OSC) said that Michelle Dunk of Waterloo, Ontario, has been charged with alleged breaches of the Securities Act (Ontario) following an investigation by the OSC’s Joint Serious Offences Team (JSOT).

Dunk was charged with one count each of trading without registration, trading in securities without a prospectus, and trading in securities during a time when she was prohibited from doing so by order of the Commission dated July 27, 2011. In addition, Dunk was charged with one count of fraud.

Dunk continues to be subject to a cease trade order prohibiting her from trading in securities.

It is alleged that between September 2012 and May 30, 2016, Dunk was involved in the sale and distribution of Rocky Point Energy securities to Ontario investors.

It is further alleged that Dunk has never been registered with the Commission under the Securities Act, and no prospectuses qualifying any Rocky Point Energy-related securities have ever been filed with the Commission.

Dunk is scheduled to appear in court on this matter on July 12, 2016.


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