Disciplined List
Lewis, David Reg
-
Date of Order or Settlement:
2001-05-08
Sanction:
- An undertaking to provide a BC investor with the right to a full refund
- An undertaking to comply with the Securities Act, the Securities Rules and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Illegal distribtution
- Prohibited representations
Ruling Body:
BCSCPayment Agreed/Ordered:
$9,500 plus $500 in costs