Disciplined List

Details

Name: Aitkens, Ronald James
Alberta - Alberta Securities Commission
Date of Order or Settlement August 20, 2009
Payment Agreed/Ordered $45,000.00
Violations
Acting contrary to the public interest
Making false or misleading statements
Supporting Documents
Settlement Agreement (English)

Date of Order or Settlement October 02, 2019
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Investor relations ban with or without exceptions
Administrative Penalty/Fine
Other
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered $780,000.00 *
Violations
Fraud and/or Forgery and/or Falsification
Misrepresentations
Supporting Documents
Sanctions Decisions (English)
Merits Decisions (English)

Saskatchewan - Financial and Consumer Affairs Authority of Saskatchewan
Date of Order or Settlement July 08, 2009
Sanctions
Trading ban with or without conditions
Payment Agreed/Ordered  
Violations
Failure to file insider's report
Failure to cooperate
Supporting Documents
Order (English)

Date of Order or Settlement September 18, 2017
Date of Prior Order April 21, 2017
Payment Agreed/Ordered  
Violations
Failure to comply with terms and conditions
Supporting Documents
Related Documents (English)

Date of Order or Settlement October 02, 2017
Date of Prior Order September 18, 2017
Payment Agreed/Ordered  
Violations
Failure to comply with terms and conditions
Supporting Documents
Order (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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