Disciplined List
Purdy, Kevin Richard
-
Date of Order or Settlement:
1989-07-13 -
Banned Until:
1992-07-13
Sanction:
- 3-year trading ban (BCSC)
- 3-year director/officer ban (BCSC)
Supporting Documents:
Violation:
- Failure to comply with "Know Your Client" rule (OSC)
- Participation in unregistered advising (OSC)
Ruling Body:
BCSC, Ontario Securities CommissionPayment Agreed/Ordered:
$250 in costs (BCSC)