Dhaliwal, Ranbir Singh

Date of Order or Settlement:
2001-02-12
Banned Until:
2007-02-12
Sanction:

    6-year trading ban with conditions

    6-year director/officer ban with conditions

    6-year investor relations ban

    An undertaking not to apply for registration for 6 years

    Permanent withdrawal of Exchange approval (VSE)

Supporting Documents:
Violation:

    Improper trading in nominee accounts

    Failure to deal fairly, honestly, and in good faith with clients

    Improper third party trading

    Improper discretionary trading

    Acting as a portfolio manager without proper registration

Ruling Body:
BCSC, Vancouver Stock Exchange (VSE)
Sanction Payment Status:

$10,000 in costs (BCSC)

$100,000 (VSE)

$125,000 in inappropriate commissions (VSE)

$45,000 in costs (VSE)