Monterossa, Jose Alberto

Date of Order or Settlement:
Banned Until:

    10-year trading ban with conditions

    10-year director/officer ban with conditions

    10-year investor relations ban with conditions

    An undertaking not to apply for registration until 10 years after restitution has been made\

    An undertaking to repay back all outstanding monies borrowed from all his former clients

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

Supporting Documents:

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

Ruling Body:
Sanction Payment Status:
An undertaking to make restitution