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Enforcement

Disciplined List

Dunn, Patrick Aaron

  • Date of Order or Settlement:

    2023-05-18

  • Banned Until:

    2030-11-14

Sanction:

  • 7-year director/officer ban (with conditions) (2023)

    7-year ban from becoming or acting as a registrant or promoter (2023)

    7-year ban from advising or otherwise acting in a management or consultative capacity in connection with activities in the securities or derivatives market (2023)

    7-year ban from engaging in promotional activities (2023)
  •  
  • An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations (2016)
  • 2-year ban from purchasing and trading in securities or exchange contracts with conditions (2016)
  • 2-year director/officer ban with conditions (2016)
  • 2-year ban from becoming or acting as a registrant or promoter with conditions (2016)
  • 2-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2016)
  • 2-year investor relations ban (2016)

Supporting Documents:

Violation:

  • Breach of Order (2022)
  • False or misleading statement (2022)
  • Illegal distribution (2016)
  • Unregistered trading (2016)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$60,000 (2023) $11,000 (2016)