Disciplined List
Pierce, Gordon Brent
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Date of Order or Settlement:
2016-08-05
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts (2016)
- Permanent ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision (2016)
- Permanent director/officer ban (2016)
- Permanent ban from becoming or acting as a registrant or promoter (2016)
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market (2016)
- Permanent investor relations ban (2016)
- 15-year trading ban (1993)
- 15-year director/officer ban (1993)
Supporting Documents:
Violation:
- Filing false documents (1993)
- Improper use of funds from a public offering (see Settlement/Order) (1993)
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000 (1993)