DISCIPLINED PERSONS LIST

Name Friesen, Katherine
Date of Order or Settlement December 30, 1992
Banned Until November 27, 2002
Sanction

10-year trading ban (BCSC)

10-year director/officer ban (BCSC)

Permanent trading ban with conditions (OSC)

Payment Agreed / Ordered $1,000 in costs
Violation

Unregistered advising (OSC)

Unregistered trading (OSC)

Misrepresentations (OSC)

Failure to supervise (OSC)

Ruling Body BCSC, Ontario Securities Commission (OSC)
Supporting Documents Settlement/Order New window
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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.
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