Disciplined List


Name: Del Plavignano, Nicholas
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement November 29, 2018
Banned Until May 29, 2020
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $5,000.00
Unregistered, unauthorized and/or improper trading
Internal control violations
Failure to discharge know your client and suitability obligations
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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