Flynn, Michael James

Date of Order or Settlement:
2001-08-21
Banned Until:
2009-08-21
Sanction:

    8-year trading ban with conditions

    8-year investor relations ban

    An undertaking to comply with restrictions on future registration under the Securities Act, including training and strict supervision provisions

Supporting Documents:
Violation:

    Unregistered distribution

    Failure to comply with the "Know Your Client" rule

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

Ruling Body:
BCSC
Sanction Payment Status:
$2,400