Disciplined List
Oagles, James H.
-
Date of Order or Settlement:
2008-08-12
Sanction:
- Permanent trading ban with conditions (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (NBSC)
- Illegal distribution (NBSC)
Ruling Body:
BCSC, New Brunswick Securities Commission (NBSC)Payment Agreed/Ordered:
$10,000 plus $2,500 in costs (NBSC)