Disciplined List
Foster, Mark Webster Vaughan
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Date of Order or Settlement:
2002-05-13 -
Banned Until:
2014-05-13
Sanction:
- 12-year trading ban with conditions
- 12-year director/officer ban with conditions
- 12-year investor relations ban with conditions
- An undertaking to comply fully with the Securities Act, Securities Rule and applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Misrepresentations
- Failure to fulfill the duties and responsibilities of a director
- Failure to comply with the "Know Your Client" rule
- Failure to act fairly, honestly and in good faith with clients
Ruling Body:
BCSCPayment Agreed/Ordered:
$30,000 plus $5,000 in costs