DISCIPLINED PERSONS LIST

Name Flynn, Michael James
Date of Order or Settlement August 21, 2001
Banned Until August 21, 2009
Sanction

8-year trading ban with conditions

8-year investor relations ban

An undertaking to comply with restrictions on future registration under the Securities Act, including training and strict supervision provisions

Payment Agreed / Ordered $2,400
Violation

Unregistered distribution

Failure to comply with the "Know Your Client" rule

Failure to deal fairly, honestly and in good faith with clients

Ruling Body BCSC
Supporting Documents Settlement/Order New window
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