Disciplined Persons

Details

Name: Friesen, Kelly
Manitoba - Manitoba Securities Commission
Date of Order or Settlement February 27, 2008
Banned Until  
Sanctions
Reciprocal
Trading Ban
Denial of Exemptions
Payment Agreed/Ordered N/A
Violations
 
Supporting Documents

New Brunswick - New Brunswick Securities Commission
Date of Order or Settlement February 19, 2010
Banned Until  
Sanctions
cease trade in all securities and exchange contracts
exemptions in NB securities law do not apply
reciprocal
Payment Agreed/Ordered  
Violations
unregistered trading
Supporting Documents

Saskatchewan - Saskatchewan Financial Services Commission
Date of Order or Settlement December 11, 2007
Banned Until  
Sanctions
exemptions do not apply
cease trading
cease advising in all securitiestrades and exchange contracts
Payment Agreed/Ordered  
Violations
Not registered to trade in securities in Saskatchewan
Contravened prospectus requirement
Supporting Documents

The CSA presents this information as a plain language summary of information found in publicly available documents. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions. Please forward any questions or reports of errors and omissions to csa-acvm-secretariat@acvm-csa.ca.



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