Disciplined List
Scharfe, Bradley Nixon
-
Date of Order or Settlement:
2004-01-21 -
Banned Until:
2006-01-21
Sanction:
- 2-years trading ban with conditions
- 2-year director/officer ban
- 2-year investor relations ban
- An undertaking not to apply for registration for at least 2 years and only after the successful completion of an acceptable course of study
- An undertaking to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Failure to make sufficient enquiries about the identity of clients
- Acting contrary to the public interest by failing to fulfill "gatekeeper" responsibilities
Ruling Body:
BCSCPayment Agreed/Ordered:
$53,500