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Enforcement

Disciplined List

McLoughlin, John Arthur Roche

  • Date of Order or Settlement:

    2011-04-29

  • Banned Until:

    2026-04-29

Sanction:

  • 15-year trading ban with conditions (2011)
  • 15-year denial of exemptions (2011)
  • 15-year director/officer ban (2011)
  • 15-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)
  • 15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2011)
  • 15-year investor relations ban (2011)
  • Indefinite trading ban with conditions (2001)
  • Indefinite denial of exemptions (2001)
  • Indefinite director/officer ban (2001)
  • Indefinite investor relations ban (2001)
  • An undertaking to comply with the Securities Act, the Securities Rules and all applicable regulations, policies and guidelines (2001)
  • An undertaking to offer a refund to each of the investors (2001)

Supporting Documents:

Violation:

  • Illegal distribution (2011)
  • Breach of Order (2011)
  • Unregistered distribution (2001)

Ruling Body:

BCSC

Payment Agreed/Ordered:

$50,000 (2011)

$15,000 plus $5,000 in costs  (2001)