Disciplined List
Ardalan, Afshin
-
Date of Order or Settlement:
2018-05-25 -
Banned Until:
2022-05-25
Sanction:
- 4-year ban from purchasing and trading in securities or exchange contracts (with conditions)
- 4-year director/officer ban (with conditions)
- 4-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision (with conditions)
- 4-year ban from becoming or acting as a registrant or promoter (with conditions)
- 4-year ban from acting in a management or consultative capacity in connection with activities in the securities market (with conditions)
- 4-year investor relations ban (with conditions)
Supporting Documents:
Violation:
-
Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$40,000