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Enforcement

Disciplined List

Kain, Ross

  • Date of Order or Settlement:

    1999-06-02

  • Banned Until:

    2001-06-02

Sanction:

  • 2-year trading ban
  • 2-year director/officer ban
  • 2-year investor relations ban
  • An undertaking to comply fully with the provisions of the Securities Act and Securities Rules

Supporting Documents:

Violation:

  • Unregistered advising
  • Prohibited representations

Ruling Body:

BCSC

Payment Agreed/Ordered:

$1,000 in costs