Disciplined List
Friesen, Leonard William
-
Date of Order or Settlement:
2002-11-08 -
Banned Until:
2004-11-08
Sanction:
- 2-year trading ban with conditions
- Not eligible for registration under the Securities Act until the later of 2 years and the date that all requirements have been met and the Canadian Securities Course has been successfully completed.
- 1 year of strict supervision following any registration under the Securities Act.
Supporting Documents:
Violation:
- Failure to comply with "Know Your Client", "Fair Dealing" and "Suitability of Investments" rules
- Breach of Commission Orders
- Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000