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Enforcement

Disciplined List

Johnson, Paul Daniel

  • Date of Order or Settlement:

    1998-11-26

  • Banned Until:

    1999-02-26

Sanction:

  • 3 month suspension of registration followed by 6 months of strict supervision
  • An undertaking to comply with the provisions of the Securities Act, Securities Rules and the "Know Your Client" obligations of his registration

Supporting Documents:

Violation:

  • Failure to deal fairly, honestly and in good faith with clients
  • Failure to comply with suitability of investment rules
  • Acting contrary to the public interest

Ruling Body:

BCSC

Payment Agreed/Ordered:

$10,000 plus $5,000 in costs