DISCIPLINED PERSONS LIST

Name Jeffery, James Albert
Date of Order or Settlement October 22, 2008
Banned Until August 13, 2013
Sanction

5-year trading ban with conditions (BCSC)

5-year ban from acting as, a director or officer of any issuer, registrant or investment fund manager (BCSC)

5-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)

5-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)

5-year investor relations ban (BCSC)

Violation

Unregistered trading (ASC)

Illegal distribution (ASC)

Breach of Order (ASC)

Acting contrary to the public interest (ASC)

Ruling Body BCSC, Alberta Securities Commission (ASC)
Supporting Documents

News Release

Reciprocal Order New window 

Disclaimer:
This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.