Disciplined List
Cook, Lance Sandford
-
Date of Order or Settlement:
2017-08-08 -
Banned Until:
2022-08-08
Sanction:
- 5-year ban from purchasing and trading in securities (with conditions)
- 5-year director/officer ban
- 5-year ban from becoming or acting as a registrant or promoter
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 5-year investor relations ban
Supporting Documents:
Violation:
-
Illegal
distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$218,500 in disgorgement and an administrative penalty of $25,000