Disciplined List
Waxman, Robert
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Date of Order or Settlement:
2009-01-21 -
Banned Until:
2028-01-08
Sanction:
- 10-year trading ban (BCSC)
- 20-year direcotr/officer ban (BCSC)
- 20-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 20-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- 20-year investor relations ban (BCSC)
Supporting Documents:
Violation:
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Acting contrary to the public interest (OSC)
Ruling Body:
BCSC, Ontario Securities Commission (OSC)Payment Agreed/Ordered:
$125,000 in costs (OSC)