Disciplined List
Harris, Robert John
-
Date of Order or Settlement:
2011-07-07
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts
- Permanent ban from relying on any exemptions set out in the Securities regulations
- Permanent director/officer ban
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
Supporting Documents:
Violation:
- Illegal distributions (ASC)
- Misleading statements (ASC)
- Acting contrary to public interest (ASC)
- Perpetrating a fraud on investors (ASC)