Disciplined List
Disbrow, Robert James
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Date of Order or Settlement:
1999-01-29
Sanction:
- An undertaking to comply fully with the provisions of the Securities Act, Securities Rules and B.C. Regulation 194/94
- 3-month suspension from employment in any capacity as a member of the TSE (TSE)
- Permanent suspension as a member of the TSE in certain supervisory capacities (TSE)
Supporting Documents:
Violation:
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Failure to adequately supervise company employees
Ruling Body:
BCSC, Toronto Stock Exchange (TSE)Payment Agreed/Ordered:
$110,000 (TSE)