Disciplined List
Waters, Robert
-
Date of Order or Settlement:
2014-09-04 -
Banned Until:
2020-09-04
Sanction:
- 6-year trading ban with conditions
- 6-year director/officer ban
- 6-year ban from becoming or acting as a promoter or a registrant
- 6-year ban from acting in a managing or consultative capacity in connection with activities in the securities market
- 6-year investor relations ban
- A requirement to complete a course of studies satisfactory to the executive director concerning capital raising in British Columbia
Supporting Documents:
Violation:
-
Illegal
distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000