SBC Financial Group Inc.; Prabhjot Singh Bakshi; Executive Director

Date Opened:
2017-01-26
Hearing Type:
Enforcement
Allegations:
Fraud; Illegal distribution; Trading without registration
Status:
Hearing held; Submissions complete; Findings rendered; Submissions pending
Hearing Dates:
2017-03-21; 2017-10-19 - 2017-10-20; 2017-10-23; 2017-10-25; 2018-01-25; 2018-07-18;
Panel:
Nigel P Cave - Chair, Judith Downes, Gordon L. Holloway
Please Note:
The Panel issued its findings on April 16, 2018. On July 18, 2018, the Panel heard oral submissions on sanctions and requested further submissions. The Panel's decision is due September 10, 2018.


Notices & Decisions

Date Issued Document Type Description
2018-05-22 Notice Hearing Notice - Hearing Date 2018 BCSECCOM 165
2018-04-18 News release News release
2018-04-16 Findings 2018 BCSECCOM 113
2017-10-26 Notice Hearing Notice - Hearing Date, 2017 BCSECCOM 324
2017-07-24 Notice of hearing Amended notice of hearing 2017 BCSECCOM 243
2017-03-21 Notice Hearing Notice - Hearing Dates 2017 BCSECCOM 107
2017-01-25 News release News release
2017-01-24 Notice of hearing 2017 BCSECCOM 16