Disciplined List
Lay, George
-
Date of Order or Settlement:
2019-10-25 -
Banned Until:
2022-10-25
Sanction:
- 3-year ban from purchasing and trading in securities (with conditions)
- 3-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
- 3-year director/officer ban
- 3-year ban from becoming or acting as a registrant or promoter
- 3-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 3-year investor relations ban
- An undertaking to complete a course of study on the duties and responsibilities of corporate officers and directors that is acceptable to the Executive Director
Supporting Documents:
Violation:
-
Illegal distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$30,000