DISCIPLINED PERSONS LIST

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 New window 
Disclaimer:
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.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.