Disciplined List
Rak, Jerome John
-
Date of Order or Settlement:
2011-12-08 -
Banned Until:
2021-12-08
Sanction:
- 10-year trading ban with conditions (2011)
- 5-year director/officer ban (2011)
- 8-year trading ban (1988)
- 8-year director/officer ban (1988)
Supporting Documents:
Violation:
- Insider trading (2011)
- Failure to disclose material facts (1988)
- Failure to file insider reports (1988)
- Misrepresentation (1988)
- Illegal distribution (1988)
- Failure to fulfill the duties and responsibilities of a director (1988)
Ruling Body:
BCSCPayment Agreed/Ordered:
$79,429 (2011)
$13,476.30 in costs (1988)