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Enforcement

Disciplined List

Chevalier, Alain Germain

  • Date of Order or Settlement:

    2003-02-04

  • Banned Until:

    2008-02-04

Sanction:

  • 5-year trading ban with conditions
  • 5-year director/officer ban with conditions
  • 5-year investor relations ban with conditions
  • An undertaking to comply with the provision of the Securities Act and the Securities Rules

Supporting Documents:

Violation:

  • Failure to deal fairly, honestly and in good faith with clients
  • Failure to comply with the "know your client" and suitability rules
  • Acting contrary to the public interest

Ruling Body:

BCSC

Payment Agreed/Ordered:

$10,000 plus $5,000 in costs