Di Fonzo, Mario

By admin | August 24, 2011

Di Fonzo, Mario Financial Authorities Warnings & Registrations:
Warning CSA Canada [contact-form-7 404 "Not Found"]
Name: Di Fonzo, Mario
British Columbia – British Columbia Securities Commission
Date of Order or Settlement:
January 20, 2011
Banned Until:
September 01, 2020
Sanctions:
10-year ban from relying on any exemptions set out in the Securities regulations
Payment Agreed/Ordered:
Violations:
Trading without Registration and Prospectus (MSC)
Conflict of Interest (MSC)
Unsuitable investments (MSC)
Supporting Documents:
News Release
Reciprocal Order
Manitoba – Manitoba Securities Commission
Date of Order or Settlement:
September 01, 2010
Banned Until:
September 01, 2020
Sanctions:
Denial of Exemptions
Written Reprimand
Administrative Penalty
Costs
Payment Agreed/Ordered:
$7,000.00
Violations:
Trading without Registration and Prospectus
Conflict of Interest
Unsuitable investments
Supporting Documents:
Settlement Agreement

 

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