Disciplined List
Paterson, Gordon
-
Date of Order or Settlement:
2001-08-21 -
Banned Until:
2006-08-21
Sanction:
- 5-year trading ban with conditions
- 5-year investor relations ban
- An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision
Supporting Documents:
Violation:
- Unregistered trading
- Illegal distribution
- Failure to comply with the "Know Your Client" rule
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,400