Disciplined List
Maya, Claudio Fernando
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Date of Order or Settlement:
2011-07-07 -
Banned Until:
2012-06-02
Sanction:
- 2-year ban from purchasing and trading in securities or exchange contracts
- 2-year ban from relying on any exemptions set out in the Securities regulations
- 2-year ban from becoming or acting as a director/officer of any registrant or investment fund manager
- 2-year ban from becoming or acting as a registrant, investment fund manager or promoter
Supporting Documents:
Violation:
- Acting contrary to the public interest (OSC)
- Unregistered trading (OSC)