DISCIPLINED PERSONS LIST

Name Griffiths, John David
Date of Order or Settlement May 14, 2010
Banned Until April 15, 2014
Sanction 4-year ban from relying on any exemptions set out in the regulations
Violation

Trading in securities not authorized by registration (MSC)

Acting contrary to the public interest (MSC)

Ruling Body BCSC, Manitoba Securities Commission (MSC)
Supporting Documents Reciprocal Order New window 
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