Disciplined List
McLoughlin, John Arthur Roche
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Date of Order or Settlement:
2011-04-29 -
Banned Until:
2026-04-29
Sanction:
- 15-year trading ban with conditions (2011)
- 15-year denial of exemptions (2011)
- 15-year director/officer ban (2011)
- 15-year ban from becoming or acting as a registrant, investment fund manager or promoter (2011)
- 15-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2011)
- 15-year investor relations ban (2011)
- Indefinite trading ban with conditions (2001)
- Indefinite denial of exemptions (2001)
- Indefinite director/officer ban (2001)
- Indefinite investor relations ban (2001)
- An undertaking to comply with the Securities Act, the Securities Rules and all applicable regulations, policies and guidelines (2001)
- An undertaking to offer a refund to each of the investors (2001)
Supporting Documents:
- News Release (May 4, 2011) Decision/Order (April 29, 2011)
- Settlement/Order (February 28, 2001)
Violation:
- Illegal distribution (2011)
- Breach of Order (2011)
- Unregistered distribution (2001)
Ruling Body:
BCSCPayment Agreed/Ordered:
$50,000 (2011)
$15,000 plus $5,000 in costs (2001)