Enforcement

Disciplined List

Lau, David

Date of Order or Settlement:

1995-06-07
Banned Until:

2005-06-07

Sanction:

10-year trading ban
10-year director/officer ban
An order to comply with sections 20 and 42 of the Securities Act
An order to cease trading in the forex contracts

Supporting Documents:

Violation:

Unregistered distribution
Unregistered advising

Ruling Body:

BCSC

Payment Agreed/Ordered:

$10,000