Stitt, Robert John Alexander

Date of Order or Settlement:
2011-05-26
Banned Until:
2012-04-13
Sanction:

    1-year ban from acting as the chief compliance officer or ultimate designated person for any registrant

    An undertaking to comply fully with the Securities Act, Securites Rules and any applicable regulations

Supporting Documents:
Violation:

    Failure to establish and maintain an adequate compliance system

    Failure to obtain complete know-your-client information or to perform a full suitability review for investors

Ruling Body:
BCSC
Sanction Payment Status:
$5,000