Disciplined List
Randhawa, Devinder
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Date of Order or Settlement:
1997-09-10
Sanction:
- 3-months of supervision (1997) (VSE, BCSC)
- An undertaking to successfully write and pass the Conducts and Practices Handbook examination (1997) (VSE)
- An undertaking to ensure that all future publications with which he is involved receive appropriate approvals and comply with LPS 3-39 (1989) (BCSC)
Supporting Documents:
Violation:
- Improper financial dealings with a listed company (1997) (VSE)
- Improper promotion (1989) (BCSC)
Ruling Body:
BCSC, Vancouver Stock Exchange (VSE)Payment Agreed/Ordered:
$2,000 fine (1997) (VSE, BCSC)
$750 in costs (1989) (BCSC)