Disciplined List
Campbell, David C.
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Date of Order or Settlement:
2011-07-07
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts (2011)
- Permanent ban from relying on any exemptions set out in the Securities regulations (2011)
- Permanent director/officer ban (2011)
- 8-year ban from purchasing and trading in securities or exchange contracts (2008)
- 8-year director/officer ban (2008)
- 8-year ban from becoming or acting as a registrant, investment fund manager or promoter (2008)
- 8-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (2008)
- 8-year investor relations ban (2008)
Supporting Documents:
Violation:
- Unregistered trading (OSC - 2011)
- Breach of Order (OSC - 2011)
- Illegal distribution (OSC - 2011)
- Fraud (OSC - 2011)
- Acting contrary to the public interest (OSC - 2011)
- Unregistered distribution (ASC - 2008)
- Failure to file reports of exempt distrubtion (ASC - 2008)
- Making false statements (ASC - 2008)
- Acting contrary to the public interest (ASC - 2008)