Disciplined List
Maxwell, Don
-
Date of Order or Settlement:
2011-08-30 -
Banned Until:
2016-08-30
Sanction:
- 5-year trading ban with conditions (2011)
- 5-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)
- 5-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (2011)
- 5-year investor relations ban (2011)
- 4-year director/officer ban (1996)
Supporting Documents:
Violation:
- Unregistered trading (2011)
- Unregistered trading (1996)
- Unregistered distribution (1996)
- Prohibited representations (1996)
Ruling Body:
BCSCPayment Agreed/Ordered:
$2,000 (1996)
$7,000 (2011)