Disciplined List
Eberwein, Gordon
-
Date of Order or Settlement:
2016-03-11 -
Banned Until:
2020-03-11
Sanction:
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
- 4-year ban from purchasing and trading in securities or exchange contracts with conditions
Supporting Documents:
Violation:
- Creating a misleading appearance of trading activity
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000