Disciplined List


Name: Morante, Carlos David
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement August 15, 2019
Banned Until August 15, 2021
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered  
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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