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Enforcement

Disciplined List

Muir, Kenneth

  • Date of Order or Settlement:

    1999-05-25

  • Banned Until:

    1999-08-31

Sanction:

  • 30-day registration suspension plus 12 months of strict supervision
  • An undertaking to fully comply with the Securities Act, Securities Rules and the bylaws, rules and policies of the Exhchange
  • An undertaking to rewrite the conduct and practices exam

Supporting Documents:

Violation:

  • Failure to obtain written trading authorization
  • Engaging in unfair trading practices

Ruling Body:

BCSC

Payment Agreed/Ordered:

$35,000 plus $5,000 in costs