Disciplined List
Hallett, Phillip Ross
-
Date of Order or Settlement:
2010-09-08 -
Banned Until:
2015-05-18
Sanction:
- 5-year denial of exemptions
- 5-year director/officer ban with conditions
Supporting Documents:
Violation:
- Illegal distribution (ASC)
- Prohibited representations (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$40,000 plus $2,000 in costs (ASC)