DISCIPLINED PERSONS LIST
| Name | Kearl, Richard George |
|---|---|
| Date of Order or Settlement | October 22, 2008 |
| Date of Prior Decision or Settlement | 2008-06-10 |
| Banned Until | January 25, 2023 |
| Sanction |
15-year trading ban with conditions (June 10, 2008) (BCSC) 15-year Director/officer ban with conditions (June 10, 2008) (BCSC) 15-year ban from becoming or acting as a registrant, investment fund manager or promoter (June 10, 2008) (BCSC) 15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (June 10, 2008) (BCSC) 15-year investor relations ban (June 10, 2008) (BCSC) 2-year trading ban with conditions (October 22, 2008) (BCSC) |
| Violation |
Unregistered trading (August 13, 2008) (ASC) Illegal distribution (August 13, 2008) (ASC) Acting contrary to the public interest (August 13, 2008) (ASC) Unregistered trading (January 25, 2008) (ASC) Misrepresentations (January 25, 2008) (ASC) Acting contrary to the public interest (January 25, 2008) (ASC) |
| Ruling Body | BCSC, Alberta Securities Commission (ASC) |
| Supporting Documents |
News Release - November 3, 2008 |
