Disciplined List
Sasseville, Raymond Michael Roger
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Date of Order or Settlement:
2015-12-09 -
Banned Until:
2009-12-20
Sanction:
- 5-year ban from purchasing and trading in securities or exchange contracts with conditions (2015)
- 5-year director/officer ban with conditions (2015)
- 5-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision as defined in the Securities Act with conditions (2015)
- 5-year ban from becoming or acting as a registrant or promoter (2015)
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2015)
- 5-year investor relations ban (2015)
- 3-year trading ban with conditions (2003)
- 3-year director/officer ban with conditions (2003)
- 3-year investor relations ban (2003)
- An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations (2003)
Supporting Documents:
Violation:
- Illegal distribution (2015)
- Unregistered distribution (2003)
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000 in disgorgement (Varied (Stayed) – January 15, 2018) plus an administrative penalty of $10,000 (2015)
$9,000 plus $1,000 in costs (2003)