Disciplined List


Name: Howell, Shaun Wayne
Alberta - Alberta Securities Commission
Date of Order or Settlement September 02, 2020
Disgorgement /Restitution
Payment Agreed/Ordered $155,480.00
Fraud and/or Forgery and/or Falsification
Supporting Documents
Media Release (English)

SRO - Investment Industry Regulatory Organization of Canada
Date of Order or Settlement November 21, 2016
Administrative Penalty / Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $500,000.00 *
Acting contrary to the public interest
Unregistered activities and/or unapproved activities
Supporting Documents
Related Documents (English) (French)

* 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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