Disciplined List
Ellison, David Victor
-
Date of Order or Settlement:
1993-10-13 -
Banned Until:
1995-10-13
Sanction:
- 2-year trading ban
- 2-year director/officer ban with conditions
- An undertaking to seek such professional counsel as may be reasonably necessary or take such other steps as may be reasonably required to ensure that his future activities in the securities industry are in compliance with applicable securities legislation and policies
Supporting Documents:
Violation:
- Misrepresentations
- Unregistered advising
- Using the telephone to solicit trades