Disciplined List
McCaffrey, Allan
-
Date of Order or Settlement:
2009-07-07 -
Banned Until:
2019-01-16
Sanction:
- 10-year director/officer ban (BCSC)
- 10-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 10-year ban from acting in a management or consultative capacity in connection with activities in the securities market (BCSC)
- 10-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (OSC)
- Acting contrary to the public interest (OSC)
Ruling Body:
BCSC, Ontario Securities Commission (OSC)Payment Agreed/Ordered:
$15,000 (OSC)