Disciplined List
Carswell, John Leonard
-
Date of Order or Settlement:
2017-02-20 -
Banned Until:
2021-02-20
Sanction:
- 4-year ban from purchasing and trading in securities (with conditions)
- 4-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision as defined in the Securities Act (with conditions)
- 4-year director/officer ban (with conditions)
- 4-year ban from becoming or acting as a registrant or promoter
- 4-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 4-year investor relations ban
Supporting Documents:
Violation:
-
Illegal
distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000