Disciplined List
Sims, Brian Edward
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Date of Order or Settlement:
2017-03-16 -
Banned Until:
2020-03-16
Sanction:
- 3-year director/officer ban (with conditions)
- 3-year ban from purchasing and trading in securities (with conditions)
- 3-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 3-year investor relations ban
Supporting Documents:
Violation:
- Breach of a cease trade order
- Illegal distribution
- Acing contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$3,000