DISCIPLINED PERSONS LIST
[Print]
| 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 
|
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.