Disciplined List
Niles, Harry
-
Date of Order or Settlement:
2009-01-22
Sanction:
- Permanent trading ban with conditions (BCSC)
- Permanent director/officer ban (BCSC)
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- Permanent ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- Permanent investor relations ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (NBSC)
- Illegal distribution (NBSC)
- Breach of Orders (NBSC)
- Acting contrary to the public interest (NBSC)
- Misrepresentations (NBSC)
Ruling Body:
BCSC, New Brunswick Securities Commission (NBSC)Payment Agreed/Ordered:
$60,000 plus $5,000 in costs (NBSC)