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Enforcement

Disciplined List

Fortin, James Rodney

  • Date of Order or Settlement:

    2003-05-14

  • Banned Until:

    2010-05-14

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

Supporting Documents:

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

Payment Agreed/Ordered:

$9,000 plus $1,000 in costs