Enforcement

Disciplined List

Monterossa, Jose Alberto

Date of Order or Settlement:

2002-06-20

Sanction:

10-year trading ban with conditions
10-year director/officer ban with conditions
10-year investor relations ban with conditions
An undertaking not to apply for registration until 10 years after restitution has been made\
An undertaking to repay back all outstanding monies borrowed from all his former clients
An undertaking to comply with the Securities Act, Securities Rules and all applicable regulations, policies and guidelines

Supporting Documents:

Violation:

Failure to deal with clients fairly, honestly and in good faith

Ruling Body:

BCSC

Payment Agreed/Ordered:

An undertaking to make restitution