Disciplined List
Baker, James Woodrow
-
Date of Order or Settlement:
2010-05-14 -
Banned Until:
2014-10-20
Violation:
- Illegal distribution (ASC)
- Prohibited Representations (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities CommissionPayment Agreed/Ordered:
$15,000 (ASC)
$9,000 in costs (ASC)