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