DISCIPLINED PERSONS LIST
[Print]
| Name | Fortin, James Rodney |
|---|---|
| Date of Order or Settlement | May 14, 2003 |
| Banned Until | May 14, 2010 |
| Sanction |
7-year trading ban with conditions 7-year director/officer ban 7-year investor relations ban An undertaking not to apply for registration under any category under the Act for 7 years |
| Payment Agreed / Ordered | $9,000 plus $1,000 in costs |
| Violation |
Illegal distribution Prohibited representations Failure to deal fairly, honestly and in good faith with clients Failure to comply with "Know your client" and suitability rules |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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.