Enforcement

Disciplined List

Wong, Sonny Tat

Date of Order or Settlement:

1995-06-07
Banned Until:

2015-06-07

Sanction:

20-year trading ban
20-year director/officer ban
An order to comply with Sections 20 and 42 of the Securities Act
Indefinite cease trade order in forex contracts

Supporting Documents:

Violation:

Unregistered advising
Unregistered trading
Misrepresentation

Ruling Body:

BCSC

Payment Agreed/Ordered:

$50,000 plus costs