Disciplined List
Gordon-Carmichael, Donald Brian
-
Date of Order or Settlement:
2002-11-08 -
Banned Until:
2004-11-08
Sanction:
- 2-year trading ban with conditions (2002)
- Not eligible for registration under the Securities Act until all requirements have been met and the Canadian Securities Course has been successfully completed (2002)
- An undertaking to obtain legal or other professional advice as necessary to ensure compliance with the requirements of the Securities Act and Securities Regulation (1991)
Supporting Documents:
Violation:
- Failure to comply with "Know Your Client", "Fair Dealing" and "Suitability of Investments" rules (2002)
- Breach of Commission Orders (2002)
- Unregistered advising (1991)
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000 (1991)