Disciplined List
Sekora, Percy Ellison
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Date of Order or Settlement:
2001-05-14 -
Banned Until:
2006-02-23
Sanction:
- 7-year trading ban with conditions (BCSC)
- 7-year director/officer ban (BCSC)
- An undertaking not to apply for registration for 7 years (BCSC)
Supporting Documents:
Violation:
- Acting contrary to the public interest (ASC)
- Unregistered distribution (ASC)
- Unauthorized trading (ASC & BCSC)
- Acting as a portfolio manager without registration (BCSC)
- Unregistered trading (BCSC)
- Failure to deal honestly, fairly and in good faith with clients (BCSC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$7,500 in costs (ASC)