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Disciplined List

Albers, Rodney Keith

  • Date of Order or Settlement:

    2001-08-21
  • Banned Until:

    2009-08-21

Sanction:

  • 8-year trading ban with conditions
  • 8-year investor relations ban
  • An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision provisions

Supporting Documents:

Violation:

  • Unregistered distribution
  • Failure to comply with the "Know Your Client" and "Fair Dealing" rules

Ruling Body:

BCSC

Payment Agreed/Ordered:

$2,400