Enforcement

Disciplined List

Loewen, Thomas

Date of Order or Settlement:

1999-02-16
Banned Until:

2000-02-16

Sanction:

1-year trading ban with conditions \
An undertaking to comply with the Securities Act, the Securities Rules and any applicable regulations, policies and guidelines

Supporting Documents:

Settlement/Order

Violation:

Unregistered advising
Unregistered distribution

Ruling Body:

BCSC

Payment Agreed/Ordered:

$3,000 fine and $2,000 in costs