Enforcement

Disciplined List

Scharfe, Bradley Nixon

Date of Order or Settlement:

2004-01-21
Banned Until:

2006-01-21

Sanction:

2-years trading ban with conditions
2-year director/officer ban
2-year investor relations ban
An undertaking not to apply for registration for at least 2 years and only after the successful completion of an acceptable course of study
An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines

Supporting Documents:

Settlement/Order

Violation:

Failure to make sufficient enquiries about the identity of clients
Acting contrary to the public interest by failing to fulfill "gatekeeper" responsibilities

Ruling Body:

BCSC

Payment Agreed/Ordered:

$53,500