Disciplined List
Herndl, Max
-
Date of Order or Settlement:
1994-12-22
Sanction:
- An undertaking to issue an amended Offering Agreement and to offer investors the right of rescission
- An undertaking to comply with the Securities Act and associated Rules and Regluations
Supporting Documents:
Violation:
- Misrepresentation
- Failure to disclose material facts
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000