Enforcement

Disciplined List

Gozdek, Richard Francis

Date of Order or Settlement:

2022-01-19
Banned Until:

2024-01-19

Sanction:

2-year ban from trading in or purchasing any securities or derivatives (with conditions) (2022)
2-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision (2022)
2-year director/officer ban (2022)

2-year ban from becoming or acting as a registrant or promoter (2022)

2-year ban from advising or otherwise acting in a management or consultative capacity in connection with activities in the securities or derivatives market (2022)

2-year ban from engaging in promotional activities (2022)

5-year ban from purchasing and trading in securities or exchange contracts with conditions (2013)
5-year director/officer ban with conditions (2013)
5-year ban from becoming or acting as a registrant, investment fund manager or promoter (2013)
5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2013)
5-year investor relations ban (2013)
An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations (2013)

Supporting Documents:

Violation:

Breach of Order (2022)
Illegal trading (2013)
Illegal distribution (2013)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$65,062.30 (2013)