Disciplined List
O'Connor, Paul Larry
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Date of Order or Settlement:
2005-03-31
Sanction:
- Permanent trading ban
- Permanent denial of exemptions
- Permanent director/officer ban
- Permanent investor relations ban
Supporting Documents:
Violation:
- Fraud
- Failure to deal honestly, fairly and in good faith with clients
- Making unsuitable investment recommendations
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$200,000 plus $48,368.25 in costs