Disciplined List
Adams, Barry
-
Date of Order or Settlement:
2010-01-25 -
Banned Until:
2019-04-19
Sanction:
- 10-year ban from purchasing and trading in securities or exchange contracts with conditions
- 10-year ban from relying on any exemptions set out in the Securities regulations with conditions
Supporting Documents:
Violation:
- Unregistered trading (NB)
- Making misleading statements (NB)
- Acting contrary to the public interest (NB)