Disciplined List

Details

Name: Rethy, Steven Jules
Nova Scotia - Nova Scotia Securities Commission
Date of Order or Settlement March 30, 2010
Sanctions
Administrative Penalty / Fine
Reprimand
Payment Agreed/Ordered $22,500.00
Violations
Fraud and/or Forgery and/or Falsification
Supporting Documents
Order (English)
Settlement Agreement (English)

SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement October 15, 2020
Banned Until March 15, 2021
Sanctions
Trading ban with or without conditions
Administrative Penalty / Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $10,000.00
Violations
Failure to comply with terms and conditions
Supporting Documents
Media Release (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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