DISCIPLINED PERSONS LIST
[Print]
| Name | Loewen, Thomas |
|---|---|
| Date of Order or Settlement | February 16, 1999 |
| Banned Until | February 16, 2000 |
| Sanction |
1-year trading ban with conditions \ An undertaking to comply with the Securities Act, the Securities Rules and any applicable regulations, policies and guidelines |
| Payment Agreed / Ordered | $3,000 fine and $2,000 in costs |
| Violation |
Unregistered advising Unregistered distribution |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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