Disciplined List
Pessl, Tatjana
-
Date of Order or Settlement:
1993-08-24 -
Banned Until:
1997-02-24
Sanction:
- 12-month trading ban with conditions
- 42-month director/officer ban
Supporting Documents:
Violation:
- Misrepresentations
- Unregistered distribution
- Filing of inaccurate insider reports
- Failure to act in the best interest of the issuers
- Failure to fulfill the duties and responsibilities of a director
Ruling Body:
BCSCPayment Agreed/Ordered:
$3,500