Disciplined List
Nemeth, Susan Grace
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Date of Order or Settlement:
2016-08-17 -
Banned Until:
2023-08-17
Sanction:
7-year ban from purchasing and trading in any securities (with conditions)- 7-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision as defined in the Securities Act (with conditions)
- 7-year director/officer ban
- 7-year ban from becoming or acting as a registrant or promoter
- 7-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 7-year investor relations ban
Supporting Documents:
Violation:
-
Illegal
distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$162,500 in disgorgement and an administrative penalty of $70,000