Disciplined List
Sanders, Anne
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Date of Order or Settlement:
2019-11-04 -
Banned Until:
2024-11-04
Sanction:
- 5-year ban from purchasing and trading in securities
- 5-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
- 5-year director/officer ban
- 5-year ban from becoming or acting as a registrant or promoter
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 5-year investor relations ban
Supporting Documents:
Violation:
-
Breach of a cease trade order
- Misrepresentation
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000