Disciplined List
Kearl, Richard George
-
Date of Order or Settlement:
2008-10-22 -
Banned Until:
2023-01-25
Sanction:
- 15-year trading ban with conditions (June 10, 2008) (BCSC)
- 15-year Director/officer ban with conditions (June 10, 2008) (BCSC)
- 15-year ban from becoming or acting as a registrant, investment fund manager or promoter (June 10, 2008) (BCSC)
- 15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (June 10, 2008) (BCSC)
- 15-year investor relations ban (June 10, 2008) (BCSC)
- 2-year trading ban with conditions (October 22, 2008) (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (August 13, 2008) (ASC)
- Illegal distribution (August 13, 2008) (ASC)
- Acting contrary to the public interest (August 13, 2008) (ASC)
- Unregistered trading (January 25, 2008) (ASC)
- Misrepresentations (January 25, 2008) (ASC)
- Acting contrary to the public interest (January 25, 2008) (ASC)