Disciplined List
Hauchecorne, Jean-Claude
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Date of Order or Settlement:
2000-08-01 -
Banned Until:
2020-08-01
Sanction:
- 20-year trading ban (BCSC)
- 20-year director/officer ban (BCSC)
- Permanently ban from being a broker (CDNX)
Supporting Documents:
Violation:
- Failure to comply with the "Know Your Client" rule
- Trading without proper authority
- Participation in improper transactions
- Failure to deal fairly, honestly and in good faith with clients
Ruling Body:
BCSC, Canadian Venture Exchange (CDNX)Payment Agreed/Ordered:
$200,000 (CDNX)
$95,000 in disgorgement of commissions (CDNX)
Costs (CDNX)
$7835.52 in costs (BCSC)