DISCIPLINED PERSONS LIST

Name Fenner, Richard
Date of Order or Settlement February 22, 2001
Banned Until August 22, 2001
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

Payment Agreed / Ordered $1,000 plus $1,000 in costs
Violation

Unregistered distribution

Prohibited representations

Ruling Body BCSC
Supporting Documents Settlement/Order New window
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