DISCIPLINED PERSONS LIST

Name McLoughlin, John Arthur Roche
Date of Order or Settlement April 29, 2011
Date of Prior Decision or Settlement 2001-02-28
Banned Until April 29, 2026
Sanction

15-year trading ban with conditions (2011)

15-year denial of exemptions (2011)

15-year director/officer ban (2011)

15-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)

15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2011)

15-year investor relations ban (2011)

Indefinite trading ban with conditions (2001)

Indefinite denial of exemptions (2001)

Indefinite director/officer ban (2001)

Indefinite investor relations ban (2001)

An undertaking to comply with the Securities Act, the Securities Rules and all applicable regulations, policies and guidelines (2001)

An undertaking to offer a refund to each of the investors (2001)

Payment Agreed / Ordered

$50,000 (2011)

$15,000 plus $5,000 in costs  (2001)

Violation

Illegal distribution (2011)

Breach of Order (2011)

Unregistered distribution (2001)

Ruling Body BCSC
Supporting Documents

News Release (May 4, 2011)

Decision/Order (April 29, 2011)New window

Settlement/Order (February 28, 2001) New window

Disclaimer:
This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.