Disciplined List
Low, Scott Thomas
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Date of Order or Settlement:
2020-04-22
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts
Permanent director/officer ban
Permanent ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
Permanent ban from becoming or acting as a registrant or promoter
Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
Permanent investor relations ban
Permanent ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
Permanent ban from becoming or acting as a registrant or promoter
Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
Permanent investor relations ban
Supporting Documents:
Violation:
- Misrepresentations
- Illegal distribution
- Unregistered trading
- Breach of undertaking
Ruling Body:
BCSCPayment Agreed/Ordered:
$2 million