Disciplined List
Durward, James Morris
-
Date of Order or Settlement:
1993-05-13 -
Banned Until:
1993-06-13
Sanction:
- 30-day trading ban (1993)
- A recommendation to successfully complete PUBCO1, the course on Organizing and Managing a Public Company, or an equivalent course satisfactory to Commission staff, before becoming a director or officer of a reporting issuer (1993)
- 1-year trading ban (1989)
Supporting Documents:
Violation:
- Preparing and filing a take over bid that did not comply with the Securities Act (1993)
- "Cold calling" residences to effect trades in securities (1989)
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000 (1993)
$1,000 in costs (1989)