Disciplined List
Dhaliwal, Ranbir Singh
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Date of Order or Settlement:
2001-02-12 -
Banned Until:
2007-02-12
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)
Supporting Documents:
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)Payment Agreed/Ordered:
$10,000 in costs (BCSC)
$100,000 (VSE)
$125,000 in inappropriate commissions (VSE)
$45,000 in costs (VSE)