DISCIPLINED PERSONS LIST
[Print]
| Name | Koch, Rodney |
|---|---|
| Date of Order or Settlement | May 14, 2010 |
| Banned Until | August 13, 2034 |
| Sanction |
25-year trading ban (BCSC)
25-year denial of exemptions (BCSC)
25-year director/officer ban (BCSC) |
| Payment Agreed / Ordered | $285,000 (ASC) |
| 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) |
| Supporting Documents |
Reciprocal Order  |
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