Enforcement

Disciplined List

Nesbitt, Frederick Maurice

Date of Order or Settlement:

1999-02-16
Banned Until:

2002-02-16

Sanction:

3-year trading ban with conditions
An undertaking to comply with the Securities Act, Securities Rukes and all applicable regulations, policies and guidelines

Supporting Documents:

Settlement/Order

Violation:

Unregistered trading
Unregistered distribution

Ruling Body:

BCSC

Payment Agreed/Ordered:

$5,500 plus $2,000 in costs