Disciplined List
McIntosh, Roberta Merlin (aka Bert McIntosh, Roberta Sims, Roberta Butcher, Roberta Mayer)
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Date of Order or Settlement:
2015-02-26 -
Banned Until:
2025-02-26
Sanction:
- 10-year trading ban (with conditions)
- 10-year director/officer ban
- 10-year ban from becoming or acting as a registrant or promoter
- 10-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 10-year investor relations ban
Supporting Documents:
Violation:
- Unregistered advising
Ruling Body:
BCSCPayment Agreed/Ordered:
$11,730 in disgorgement and a $30,000 administrative penalty