DISCIPLINED PERSONS LIST

Name Dhaliwal, Ranbir Singh
Date of Order or Settlement February 12, 2001
Banned Until February 12, 2007
Sanction

6-year trading ban with conditions

6-year director/officer ban with conditions

6-year investor relations ban

An undertaking not to apply for registration for 6 years

Permanent withdrawal of Exchange approval (VSE)

Payment Agreed / Ordered

$10,000 in costs (BCSC)

$100,000 (VSE)

$125,000 in inappropriate commissions (VSE)

$45,000 in costs (VSE)

Violation

Improper trading in nominee accounts

Failure to deal fairly, honestly, and in good faith with clients

Improper third party trading

Improper discretionary trading

Acting as a portfolio manager without proper registration

Ruling Body BCSC, Vancouver Stock Exchange (VSE)
Supporting Documents Settlement/Order 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.