Disciplined List

Details

Name: Rochard, John Byron
Alberta - Alberta Securities Commission
Date of Order or Settlement February 01, 2016
Payment Agreed/Ordered  
Violations
Illegal or unregistered distributions
Unregistered, unauthorized and/or improper trading
Authorized, permitted or acquiesced in violation
Supporting Documents
Merits Decisions (English)

Date of Order or Settlement April 26, 2016
Date of Prior Order February 01, 2016
Banned Until April 26, 2031
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
Registration ban (with or without exceptions) and/or restrictions
Other
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered $170,000.00 *
Supporting Documents
Sanctions Decisions (English)

British Columbia - British Columbia Securities Commission
Date of Order or Settlement March 31, 2021
Banned Until April 26, 2031
Sanctions
Director, Officer and/or Supervisor Ban with or without exceptions
Trading ban with or without conditions
Investor relations ban with or without exceptions
Registration ban (with or without exceptions) and/or restrictions
Other
Exemption inapplicable with or without exceptions
Payment Agreed/Ordered  
Supporting Documents
Reciprocal 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. Although we try to ensure the information in the Disciplined List is complete, accurate and current, this may not always be the case.



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