Disciplined List
Bayne, Ross Vincent
-
Date of Order or Settlement:
2008-06-10 -
Banned Until:
2011-01-25
Sanction:
-
3-year trading ban with conditions (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (ASC)
- Prohibited representations (ASC)
- Misrepresentations (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC / Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$8,000 plus $3,000 in costs (ASC)