Disciplined List
Knowlton, Del
-
Date of Order or Settlement:
2000-03-20 -
Banned Until:
2010-03-20
Sanction:
- 10-year trading ban
- 10-year director/officer ban
- 10-year investor relations ban
Supporting Documents:
Violation:
- Unregistered distribution
- Unregistered trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000 plus $20,000 in costs with conditions