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

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)


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
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