Disciplined List
Lo, Kwok-On Aloysius
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Date of Order or Settlement:
2009-07-07 -
Banned Until:
2019-03-05
Sanction:
- 5-year ban trading ban with conditions (BCSC)
- 5-year denial of exemptions described in sections 44 to 47, 74, 98 and 99 of the Securities Act with conditions (BCSC)
- 10-year director/officer ban (BCSC)
- 10-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 10-year ban from from acting in a management or consultative capacity in connection with activities in the securities market (BCSC)
- 10-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (OSC)
- Conduct resulting in, or contributing to, an artificial price for securities (OSC)
- Acting contrary to the public interest (OSC)
Ruling Body:
BCSC, Ontario Securities Commission (OSC)Payment Agreed/Ordered:
$18,641 plus $5000 in costs (OSC)