Disciplined List
Flynn, Michael James
-
Date of Order or Settlement:
2001-08-21 -
Banned Until:
2009-08-21
Sanction:
- 8-year trading ban with conditions
- 8-year investor relations ban
- An undertaking to comply with restrictions on future registration under the Securities Act, including training and strict supervision provisions
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to comply with the "Know Your Client" rule
- Failure to deal fairly, honestly and in good faith with clients
Ruling Body:
BCSCPayment Agreed/Ordered:
$2,400