Disciplined List
Jeffery, James Albert
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Date of Order or Settlement:
2008-10-22 -
Banned Until:
2013-08-13
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)
Supporting Documents:
Violation:
- Unregistered trading (ASC)
- Illegal distribution (ASC)
- Breach of Order (ASC)
- Acting contrary to the public interest (ASC)