Disciplined List

Details

Name: ULFAN, Hanoch
Alberta - Alberta Securities Commission
Date of Order or Settlement December 12, 2007
Banned Until December 12, 2014
Sanctions
Trading ban with or without conditions
Administrative Penalty/Fine
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered $58,500.00
Violations
Acting contrary to the public interest
Illegal or unregistered distributions
Prohibited representation
Supporting Documents
Sanctions Decisions (English)

British Columbia - British Columbia Securities Commission
Date of Order or Settlement July 15, 2008
Banned Until December 12, 2014
Sanctions
Trading ban with or without conditions
Payment Agreed/Ordered  
Supporting Documents
Media Release (English)
Reciprocal Order (English)

New Brunswick - Financial and Consumer Services Commission
Date of Order or Settlement May 24, 2006
Sanctions
Other
Payment Agreed/Ordered
Violations
Misrepresentations
Unregistered, unauthorized and/or improper trading
Disclosure violations
Supporting Documents
Order (English)

Date of Order or Settlement April 26, 2006
Banned Until June 14, 2006
Sanctions
Trading ban with or without conditions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Violations
Misrepresentations
Unregistered, unauthorized and/or improper trading
Disclosure violations
Supporting Documents
Order (English)

Date of Order or Settlement April 11, 2006
Banned Until April 26, 2006
Sanctions
Trading ban with or without conditions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Violations
Misrepresentations
Unregistered, unauthorized and/or improper trading
Disclosure violations
Supporting Documents
Order (English)

Date of Order or Settlement April 11, 2006
Banned Until May 24, 2006
Sanctions
Trading ban with or without conditions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Violations
Misrepresentations
Unregistered, unauthorized and/or improper trading
Disclosure violations
Supporting Documents
Order (English)

Date of Order or Settlement March 31, 2006
Banned Until April 11, 2006
Sanctions
Trading ban with or without conditions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Violations
Misrepresentations
Unregistered, unauthorized and/or improper trading
Disclosure violations
Supporting Documents
Order (English)

Ontario - Court (Ontario)
Date of Order or Settlement May 04, 2011
Banned Until May 04, 2013
Sanctions
Trading ban with or without conditions
Imprisonment
Other
Payment Agreed/Ordered  
Violations
Illegal or unregistered distributions
Unregistered, unauthorized and/or improper trading
Making false or misleading statements
Prohibited representation
Supporting Documents
Media Release (English)

Ontario - Ontario Securities Commission
Date of Order or Settlement February 08, 2012
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Registration ban (with or without exceptions) and/or restrictions
Reprimand
Other
Acquisitions ban with or without exceptions
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Violations
Illegal or unregistered distributions
Unregistered, unauthorized and/or improper trading
Authorized, permitted or acquiesced in violation
Prohibited representation
Supporting Documents
Order (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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