McLoughlin, John Arthur Roche

Date of Order or Settlement:
Banned Until:

    15-year trading ban with conditions (2011)

    15-year denial of exemptions (2011)

    15-year director/officer ban (2011)

    15-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)

    15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2011)

    15-year investor relations ban (2011)

    Indefinite trading ban with conditions (2001)

    Indefinite denial of exemptions (2001)

    Indefinite director/officer ban (2001)

    Indefinite investor relations ban (2001)

    An undertaking to comply with the Securities Act, the Securities Rules and all applicable regulations, policies and guidelines (2001)

    An undertaking to offer a refund to each of the investors (2001)

Supporting Documents:

    Illegal distribution (2011)

    Breach of Order (2011)

    Unregistered distribution (2001)

Ruling Body:
Sanction Payment Status:

$50,000 (2011)

$15,000 plus $5,000 in costs  (2001)