Disciplined List
Alexander, Keith Henry
-
Date of Order or Settlement:
2015-08-04 -
Banned Until:
2018-08-04
Sanction:
- 3-year ban from purchasing and trading in securities (with conditions)
- 3-year director/officer ban (with conditions)
- 3-year ban from becoming or acting as a promoter
- 3-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 3-year investor relations ban
Supporting Documents:
Violation:
- Illegal distribution
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$7,500 plus $20,000 in disgorgement