Disciplined List
Wood, Douglas William Falconer
-
Date of Order or Settlement:
2015-05-06 -
Banned Until:
2016-05-06
Sanction:
- 1-year ban from becoming or acting as a registrant
- 1-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 1-year registration suspension
Supporting Documents:
Violation:
- Making false or misleading statements
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$30,000