Disciplined List

Details

Name: Dalla-Longa, Sherry Jean
Alberta - Alberta Securities Commission
Date of Order or Settlement November 15, 2019
Banned Until November 15, 2029
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Administrative Penalty/Fine
Other
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered $25,000.00
Violations
Unregistered activities and/or unapproved activities
Supporting Documents
Settlement Agreement (English)

SRO - Investment Industry Regulatory Organization of Canada
Date of Order or Settlement May 02, 2018
Banned Until June 02, 2018
Sanctions
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered Fine: $40,000, Costs: $5,000 *
Violations
Other
Failure to discharge know your client and suitability obligations
Supporting Documents
Media Release (English)
Settlement Agreement (English)

* Click here for additional information regarding the amount outstanding.

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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