Disciplined List
Lamblin, Robert Pierre
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Date of Order or Settlement:
2003-05-26 -
Banned Until:
2018-05-26
Sanction:
- 15-year trading ban with conditions
- 15-year director/officer ban with conditions
- 15-year investor relations ban with conditions
- 15-year ban from being a registrant under the Securities Act with conditions
- 1 year of strict supervision following any registration under the Securities Act
Supporting Documents:
Violation:
- Failure to comply with "Know Your Client", "Fair Dealing" and "Suitability of Investments" rules
- Failure to report conflict of interest
- Failure to fulfill the duties and responsibilities of a director
- Unregistered distribution
- Breach of Commission Orders