DISCIPLINED PERSONS LIST

Name Speiss, Richard Thomas
Date of Order or Settlement March 26, 1992
Banned Until June 26, 1992
Sanction 3-month trading ban
Payment Agreed / Ordered $500
Violation

Failure to file insider reports

Engaging in unfair trading practices

Ruling Body BCSC
Supporting Documents

Settlement/Order  New window

Settlement/Agreed Statement of Facts New window

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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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