Disciplined List
Omelus, James Ronald
-
Date of Order or Settlement:
1999-11-24 -
Banned Until:
2004-11-24
Sanction:
- 5-year registration ban
- 5-year trading ban
- An undertaking to repay oustanding loans
Supporting Documents:
Violation:
- Unregistered advising
- Improper conduct
- Failure to deal honestly, fairly and in good faith with his clients
Ruling Body:
BCSCPayment Agreed/Ordered:
$16,000 plus $4,000 in costs