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Message: Re: What institutions holding back?
8
Mar 19, 2014 10:09PM
7
Mar 19, 2014 11:04PM
7
Mar 20, 2014 08:48PM

Hi Aim, I am sorry if I was unclear in my presentation, and will try to more clearly convey in this post.

What I was getting at, I believe it is of little use to only keep focusing on sending letters to the same couple compliance officers, because of non action. I believe we need to expand the focus to encompass as many more contacts in hopes that other agencies may step in here and help with establishing the obligatory accountability toward shareholders, upon the regulators. I agree that we keep sending letters to the narrow focus of compliance in conjunction with newer efforts once again, and yes, document every little thing.

It is totally ridiculous how long the list of seemingly violations of policies has grown, from perhaps one page a couple years ago, to several pages now, with apparently no reprimands or protection of our investment evident. At this point, to write a complaint, we had to become investigators ourselves, and it is taking considerable time to outline and elaborate on the lengthy list. It is total incompetency from regulators, when investors have to fully explain to professional regulators how and why policies have been broken, and it is further incompetency and negligence, when there is no enforcement. In the confines of logical thought, how is this possible for the escapade of negligence to go on and on, with no action taken by regulators? It may be very clear to most by now, that the word "theory' may be able to be dropped from the term "conspiracy theory", to help explain what is actually going on with our circumstance. What else can logically explain non action from high and mighty regulators?

Here is a list of some places to send letters, I suggest to broaden this list through ones own creativity to perhaps a 100 or more. A broader perspective sometimes is more effective and efficient than a narrow focused one, which can be easily controlled and/or suppressed.

[email protected]



Compliance & Disclosure - Montreal, Toronto and Calgary Offices
Joanne Butz
Tel: (403) 218-2820
Fax: (403) 234-4305
E-mail: [email protected]


Compliance & Disclosure - Vancouver Office
Mani Sanghera
Tel: (604) 488-3124
Fax: (604) 688-6051
E-mail: [email protected]


Complaints or Concerns regarding TSX Venture listed issuers
Fax: (604) 688-6051
E-mail: [email protected]

Media/Public Inquiries/Complaints
E-mail: [email protected]


German Securities; BaFin
[email protected]


Alberta Securities Commission
Suite 600, 250–5th St. SW
Calgary, Alberta, T2P 0R4
File a Complaint
(403) 355-3888
[email protected]


New York Regional Office
Andrew Calamari, Regional Director
Brookfield Place
200 Vesey Street, Suite 400
New York, NY 10281-1022
(212) 336-1100
e-mail: [email protected]
State jurisdiction: New York, New Jersey

Chicago Regional Office
David A. Glockner, Regional Director
175 W. Jackson Boulevard
Suite 900
Chicago, IL 60604
(312) 353-7390
e-mail: [email protected]
State jurisdiction: Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin

Boston Regional Office
Paul Levenson, Regional Director
33 Arch Street, 23rd Floor
Boston, MA 02110-1424
(617) 573-8900
e-mail: [email protected]
State jurisdiction: Connecticut, Maine, Massachusetts, New Hampshire, Vermont, Rhode Island

Miami Regional Office
Eric I. Bustillo, Regional Director
801 Brickell Ave., Suite 1800
Miami, FL 33131
(305) 982-6300
e-mail: [email protected]
State jurisdiction: Florida, Mississippi, Louisiana, U.S. Virgin Islands, Puerto Rico

CSA SECRETARIAT
Tour de la Bourse
800, Square Victoria
Suite 2510
Montreal, QC H4Z 1J2
Tel: (514) 864-9510
Fax: (514) 864-9512
E-mail: [email protected]

Policy and Market Regulation
Shirley Lee, Q.C. 424-5441
Director, Policy and Market Regulation
and Secretary to the Commission
[email protected]
Brian W. Murphy424-4592
Deputy Director, Capital Markets
[email protected]
Chris Pottie424-5393
Manager, Compliance
[email protected]
Tanya Wiltshire424-8586
Investor Education & Communications
Coordinator
[email protected]


Ontario Securities Commission
416-593-8314
1-877-785-1555

1-866-827-1295

416-593-8122 (Questions and Complaints)

[email protected]
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