Disciplined List
Johnson, Paul Daniel
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Date of Order or Settlement:
1998-11-26 -
Banned Until:
1999-02-26
Sanction:
- 3 month suspension of registration followed by 6 months of strict supervision
- An undertaking to comply with the provisions of the Securities Act, Securities Rules and the "Know Your Client" obligations of his registration
Supporting Documents:
Violation:
- Failure to deal fairly, honestly and in good faith with clients
- Failure to comply with suitability of investment rules
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000 plus $5,000 in costs