Disciplined List

Conn, Ronald James

  • Date of Order or Settlement:

    1997-02-07
  • Banned Until:

    2012-02-07

Sanction:

  • 15-year trading ban
  • 15-year director/officer ban

Supporting Documents:

Violation:

  • Illegal distribution
  • Unregistered trading
  • Unregisted advising
  • Misrepresentations
  • Failure to deal fairly, honestly, and in good faith with clients

Ruling Body:

BCSC

Payment Agreed/Ordered:

$50,000 and costs of $1555