Sekora, Percy Ellison

Date of Order or Settlement:
2001-05-14
Banned Until:
2006-02-23
Sanction:

    7-year trading ban with conditions (BCSC)

    7-year director/officer ban (BCSC)

    An undertaking not to apply for registration for 7 years (BCSC)

Supporting Documents:
Violation:

    Acting contrary to the public interest (ASC)

    Unregistered distribution (ASC)

    Unauthorized trading (ASC & BCSC)

    Acting as a portfolio manager without registration (BCSC)

    Unregistered trading (BCSC)

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

Ruling Body:
BCSC, Alberta Securities Commission (ASC)
Sanction Payment Status:
$7,500 in costs (ASC)