DISCIPLINED PERSONS LIST

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 New window 
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