Disciplined List
Carvao, Carlos
-
Date of Order or Settlement:
2008-07-15 -
Banned Until:
2010-05-31
Sanction:
- 3-year ban from purchasing and trading in securities or exchange contracts (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (ASC)
- Illegal distribution (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
10,000 plus $1,500 in costs (ASC)