Disciplined List
Fenner, Richard
-
Date of Order or Settlement:
2001-02-22 -
Banned Until:
2001-08-22
Sanction:
- 6-month trading ban
- 6-month investor relations ban
- Banned from being officer/director until a course of study satisfactory to the Executive Director concerning the duties and responsibilities of directors and officers is completed
- An undertaking to present all investors with a copy of the Settlement and an offer of the right to a refund and to deliever a plan of rescission to Commission staff for approval
Supporting Documents:
Violation:
- Unregistered distribution
- Prohibited representations
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,000 plus $1,000 in costs