Disciplined List
Doherty, Robert Michael
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Date of Order or Settlement:
2006-10-26
Sanction:
- Permanent trading ban with conditions
- Permanent director/officer ban with conditions
- Permanent investor relations ban
- An order to comply fully with the Securities Act, Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Misrepresentations
- Unregistered trading
- Illegal distribution
- Acting with deliberate or reckless disregard of a regulatory requirement in the United States contrary to the public interest in British Columbia