Disciplined Persons List

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This page lists persons that the British Columbia Securities Commission has disciplined since 1987, including persons whose sanctions have now expired.

Hearing decisions and settlements are part of the BCSC's public record of its regulatory activities.  As the government agency responsible for protecting investors and the integrity of the securities markets, we consider it important to make this type of information readily available.  For due diligence purposes, we also consider it essential that the list remain complete.  This is why we identify all persons that have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.  

You can check the payment status for financial penalties sanctioned since our incorporation on April 1, 1995 using the Sanction Payment Status Report. The report is updated each Monday by 4:00 pm.
 
Please visit the Canadian Securities Administrator's (CSA) Canadian Securities Administrator's (CSA) Disciplined Persons List New window. It is a complete list of disciplinary actions and includes information from all of Canada's provincial and territorial securities commissions, the Investment Industry Regulatory Organization of Canada (IIROC), and the Mutual Fund Dealers Association of Canada (MFDA).

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Showing 1 - 50 of  1007 records as at 2014-09-23 12:00:00 AM

View  Results
Name Date Ordered
Achilles, Alasdair William aka Achilles, Allen 1997-11-21
Adams, Barry 2010-01-25
Ainslie, Douglas James 2002-12-03
Albers, Rodney Keith 2001-08-21
Alexander, James Terrence 2007-12-31
Ali, Cem (aka Baysan, Gem) 2009-12-14
Allaby, Samuel Richard 2012-10-15
Allen, John Alexander 2014-01-16
Allen, Joseph Edward 2007-05-30
Alter, Jacob Jackie 2004-01-23
Amyotte, George Oscar 2008-06-12
Andersen, Vagn T. M. 1989-12-27
Anderson, Alexander 2014-08-19
Anderson, Benhard Andrew 2009-07-07
Anderson, Brian David 2007-06-21
Anderson, Carl Glenn 2003-03-07
Anderson, Ernest 2010-09-08
Anderson, Gary George 1992-05-14
Anderson, Kevin 1992-04-06
Anderson, Leon F. 1998-09-10
Archibald, Donald William 2000-01-05
Arlitt, John Louis 1998-08-12
Armit, James Gordon 2004-05-18
Armitage, Stephen 2011-12-22
Armstrong, Norman Graham 1999-02-12
Arnold, Karin 1992-10-14
Arnot, Lindy 2002-11-08
Arruda, Emanuel 2013-10-01
Ashton, Arthur 1988-01-15
Ashworth, Edward Clive 1993-11-13
Atwood, Delroy 2011-01-20
Aven, Keath 1997-02-18
Ayers, Elmer Patrick 1995-11-10
Ayre, Calvin Edward 1996-10-03
Bacinello, Teresa 1997-07-28
Badshah, Anwar 2011-01-20
Bahd, Amrik Singh 2010-11-11
Bahd, Karnjit Singh 2011-05-26
Bains, Malkeet Singh 2012-05-23
Bajus, Paul Douglas 1999-01-29
Baker, Harold Dale 1989-06-19
Baker, James Woodrow 2010-05-14
Balak, Lee Andrew 1990-11-16
Balfour, Francis D. 1995-04-21
Balisky, Larry A. 1998-05-26
Ball, Ian T. 2011-12-22
Ball, Matthew 2013-12-19
Banumas, Tracey 2014-01-22
Barker, Ronald Stephen 2005-03-04
Barnes, James Arthur 1993-11-13


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