Disciplined List
Shum, David Yan Sum
-
Date of Order or Settlement:
1997-12-04 -
Banned Until:
2017-12-04
Sanction:
- 20-year trading ban
- 20-year director/officer ban
- 20-year investor relations ban
Supporting Documents:
Violation:
- Unauthorized trading
- Misappropriation of client funds
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000 fine