Disciplined List

Details

Name: Rosborough, Trevor
Ontario - Ontario Securities Commission
Date of Order or Settlement June 01, 2020
Banned Until June 01, 2025
Sanctions
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered  
Violations
Unregistered, unauthorized and/or improper trading
Making false or misleading statements
Prohibited representation
Supporting Documents
Director's Decision (OSC) (English)

SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement June 28, 2018
Sanctions
Administrative Penalty / Fine
Payment Agreed/Ordered $10,000.00
Violations
Fraud and/or Forgery and/or Falsification
Supporting Documents
Order (English)
Related Documents (English)


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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