Disciplined List
Gozdek, Richard Francis
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Date of Order or Settlement:
2022-01-19 -
Banned Until:
2024-01-19
Sanction:
- 2-year ban from trading in or purchasing any securities or derivatives (with conditions) (2022)
- 2-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision (2022)
- 2-year director/officer ban (2022)
2-year ban from becoming or acting as a registrant or promoter (2022)
2-year ban from advising or otherwise acting in a management or consultative capacity in connection with activities in the securities or derivatives market (2022)
2-year ban from engaging in promotional activities (2022) - 5-year ban from purchasing and trading in securities or exchange contracts with conditions (2013)
- 5-year director/officer ban with conditions (2013)
- 5-year ban from becoming or acting as a registrant, investment fund manager or promoter (2013)
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2013)
- 5-year investor relations ban (2013)
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations (2013)
Supporting Documents:
Violation:
- Breach of Order (2022)
- Illegal trading (2013)
- Illegal distribution (2013)
Ruling Body:
BCSCPayment Agreed/Ordered:
$65,062.30 (2013)