Disciplined List
Cadman, Travis
-
Date of Order or Settlement:
2008-10-22 -
Banned Until:
2010-07-22
Sanction:
- 2-year ban from acting as, a director or officer of any issuer, registrant or investment fund manager (BCSC)
- 2-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 2-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- 2-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- Misrepresentations (ASC)
- Unregistered advising (ASC)
- Failure to file required reports (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$100,000 (ASC)