Disciplined List
Stitt, Robert John Alexander
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Date of Order or Settlement:
2011-05-26 -
Banned Until:
2012-04-13
Sanction:
- 1-year ban from acting as the chief compliance officer or ultimate designated person for any registrant
- An undertaking to comply fully with the Securities Act, Securites Rules and any applicable regulations
Supporting Documents:
Violation:
- Failure to establish and maintain an adequate compliance system
- Failure to obtain complete know-your-client information or to perform a full suitability review for investors
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000