DISCIPLINED PERSONS LIST
[Print]
| Name | Sekora, Percy Ellison |
|---|---|
| Date of Order or Settlement | May 14, 2001 |
| Banned Until | February 23, 2006 |
| Sanction |
7-year trading ban with conditions (BCSC) 7-year director/officer ban (BCSC) An undertaking not to apply for registration for 7 years (BCSC) |
| Payment Agreed / Ordered | $7,500 in costs (ASC) |
| Violation |
Acting contrary to the public interest (ASC) Unregistered distribution (ASC) Unauthorized trading (ASC & BCSC) Acting as a portfolio manager without registration (BCSC) Unregistered trading (BCSC) Failure to deal honestly, fairly and in good faith with clients (BCSC) |
| Ruling Body | BCSC, Alberta Securities Commission (ASC) |
| Supporting Documents |
Settlement/Order  |
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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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