Disciplined List
Sellars, Penny Jean
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Date of Order or Settlement:
2010-09-08 -
Banned Until:
2015-07-05
Sanction:
- 5 year trading ban with conditions (BCSC)
- 5 year director/officer ban with conditions (BCSC)
- 5 year denial of exemptions (BCSC)
Supporting Documents:
Violation:
- Illegal distributions (ASC)
- Unregistered trading (ASC)
- Prohibited representations (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$40,000 plus $2,000 in costs (ASC)