Disciplined List
McLeod, Larry Kenneth
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Date of Order or Settlement:
2008-06-16
Sanction:
- Permanent trading ban (BCSC)
- 25-year director/officer ban (BCSC)
- 25-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 25-year ban from acting in a management or consultative capacity in connection with activities in the securities market (BCSC)
- 25-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (ASC)
- Illegal distribution (ASC)
- Misrepresentations (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$100,000 plus $30,000 in costs (ASC)