Disciplined List
Koch, Rodney
-
Date of Order or Settlement:
2010-05-14 -
Banned Until:
2034-08-13
Sanction:
25-year trading ban (BCSC)
25-year denial of exemptions (BCSC)
25-year director/officer ban (BCSC)
Supporting Documents:
Violation:
Unregistered trading (ASC)
Illegal distribution (ASC)
Prohibited representations (ASC)
Misleading statements (ASC)
Failure to file (ASC)
Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$285,000 (ASC)