Disciplined List
Wise, Peter William Arthur
-
Date of Order or Settlement:
2011-02-17 -
Banned Until:
2014-02-17
Sanction:
- 3-year trading ban with conditions
- 3-year director officer ban with conditions
- 3-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 3-year investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered trading
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000