Thompson, Rex W.

Date of Order or Settlement:
Banned Until:

    Future registration as a director/officer tied to four years of compliance audits

    An order to comply fully with the Securities Act, Securities Rules and any applicable regulations and policies

Supporting Documents:

    Failure to comply with "Know Your Client" rules

    Failure to supervise

    Failure to fulfil the duties and responsibilities of a director/officer

    Failure to act as a gatekeeper

    Acting contrary to public interest

Ruling Body:
Sanction Payment Status:
$160,000 plus $40,000 in costs