Disciplined List

Details

Name: Varteresian, Peter Anthony
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement December 01, 2016
Sanctions
Administrative Penalty / Fine
Payment Agreed/Ordered $8,500.00
Violations
Fraud and/or Forgery and/or Falsification
Supporting Documents
Order (English)
Related Documents (English)

Date of Order or Settlement November 06, 2020
Sanctions
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered  
Violations
Failure to discharge know your client and suitability obligations
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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