Disciplined List

Dunn, Patrick Aaron

  • Date of Order or Settlement:

    2016-03-03
  • Banned Until:

    2018-03-03

Sanction:

  • An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations¬†
  • 2-year ban from purchasing and trading in securities or exchange contracts with conditions
  • 2-year director/officer ban with conditions
  • 2-year ban from becoming or acting as a registrant or promoter with conditions
  • 2-year ban from acting in a management or consultative capacity in connection with activities in the securities market
  • 2-year investor relations ban

Supporting Documents:

Violation:

  • Illegal distribution
  • Unregistered trading

Ruling Body:

BCSC

Payment Agreed/Ordered:

$11,000