DISCIPLINED PERSONS LIST
[Print]
| 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 |
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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.
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