Disciplined List
Hope, Graham Martin
-
Date of Order or Settlement:
2003-04-30 -
Banned Until:
2008-04-30
Sanction:
- 5-year compliance officer, branch manager, trading partner, director/officer ban with conditions
- An undertaking to comply with the provisions of the Securities Act and Securities Rules
Supporting Documents:
Violation:
-
Acting contrary to the public interest by failing to properly supervise the sale of exempt products
Ruling Body:
BCSCPayment Agreed/Ordered:
$8,000 plust $2,000 in costs