Disciplined List
Knowlton, Linda
-
Date of Order or Settlement:
2000-03-20 -
Banned Until:
2005-03-20
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban
- 5-year investor relations ban
Supporting Documents:
Violation:
- Unregistered distribution
- Unregistered trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000 plus $3,000 in costs with conditions