Disciplined List
Fortin, James Rodney
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Date of Order or Settlement:
2003-05-14 -
Banned Until:
2010-05-14
Sanction:
- 7-year trading ban with conditions
- 7-year director/officer ban
- 7-year investor relations ban
- An undertaking not to apply for registration under any category under the Act for 7 years
Supporting Documents:
Violation:
- Illegal distribution
- Prohibited representations
- Failure to deal fairly, honestly and in good faith with clients
- Failure to comply with "Know your client" and suitability rules
Ruling Body:
BCSCPayment Agreed/Ordered:
$9,000 plus $1,000 in costs