Disciplined List
McCarney, James Nelson
-
Date of Order or Settlement:
2005-05-30 -
Banned Until:
2025-05-30
Sanction:
- 20-year trading ban with conditions
- 20-year director/officer ban with conditions
- 20-year investor relations ban with conditions
- An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Unregistered trading
- Illegal distribution
- Misrepresentation
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$100,000