Disciplined List

Details

Name: Kent, Robert John
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement March 04, 2016
Sanctions
Administrative Penalty/Fine
Payment Agreed/Ordered $6,000.00
Violations
Fraud and/or Forgery and/or Falsification
Supporting Documents
Order (English)
Other Documents (English)

Date of Order or Settlement September 10, 2019
Banned Until September 10, 2020
Sanctions
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $5,000.00
Violations
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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