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Disciplined List

Koch, Rodney

  • Date of Order or Settlement:

    2010-05-14
  • Banned Until:

    2034-08-13

Sanction:

    25-year trading ban (BCSC)

     

    25-year denial of exemptions (BCSC)

     

    25-year director/officer ban (BCSC)

Supporting Documents:

Violation:

    Unregistered trading (ASC)

    Illegal distribution (ASC)

    Prohibited representations (ASC)

    Misleading statements (ASC)

    Failure to file (ASC)

    Acting contrary to the public interest (ASC)

Ruling Body:

BCSC, Alberta Securities Commission (ASC)

Payment Agreed/Ordered:

$285,000 (ASC)