Disciplined List
Olsen, Michael Paul
-
Date of Order or Settlement:
1999-11-22
Sanction:
- Banned Until: November 22, 2009 (or 2014)
- 10 or 15 year trading ban depending upon fulfillment of conditions
- 10 or 15 year director/officer ban depending upon fulfillment of conditions
- 10 or 15 year investor relations ban depending upon fulfillment of conditions
- An undertaking to comply fully with all the provision of the Securities Act and Securities Rules
Supporting Documents:
Violation:
- Unregistered trading
- Unregistered advising
- Unregistered distribution
- Failure to comply with the "Know Your Client" rule
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000 plus $10,000 in costs