Disciplined List
Bartel, Robert Vincent
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Date of Order or Settlement:
2008-08-12 -
Banned Until:
2015-06-20
Sanction:
- 7-year ban from purchasing and trading in securities or exchange contracts with conditions (BCSC)
- 7-year director/officer ban (BCSC)
- 7-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 7-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- 7-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (ASC)
- Illegal distribution (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$40,000 plus $35,000 in costs (ASC)