Name Sekora, Percy Ellison
Date of Order or Settlement May 14, 2001
Banned Until February 23, 2006

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)

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 
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