Disciplined List
Mallinson, William M.
-
Date of Order or Settlement:
2009-01-21 -
Banned Until:
2016-10-22
Sanction:
- 8-year trading ban with conditions (BCSC)
- 8-year director/officer ban (BCSC)
- 8-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 8-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- 8-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- lllegal distribution (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$48,000 plus $2,000 in costs (ASC)