Disciplined List
Spaetgens, Victor
-
Date of Order or Settlement:
2010-05-14 -
Banned Until:
2011-09-09
Sanction:
2-year trading ban with conditions (BCSC)
2-year denial of exemptions (BCSC)
2-year director/officer ban (BCSC)
Supporting Documents:
Violation:
Illegal distribution (ASC)
Unregistered trading (ASC)
Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$40,000 (ASC)