Disciplined List
Albers, Rodney Keith
-
Date of Order or Settlement:
2001-08-21 -
Banned Until:
2009-08-21
Sanction:
- 8-year trading ban with conditions
- 8-year investor relations ban
- An undertaking to comply with restrictions on future registration under the Securities Act including training and strict supervision provisions
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to comply with the "Know Your Client" and "Fair Dealing" rules
Ruling Body:
BCSCPayment Agreed/Ordered:
$2,400