Disciplined List
Brock, Timothy Britton
-
Date of Order or Settlement:
2003-05-30 -
Banned Until:
2009-05-30
Sanction:
- 6-year trading ban with conditions
- 5-year director/officer ban
Supporting Documents:
Violation:
- Creating a misleading appearance of trading activity (wash trading)
- Failure to file insider reports
Ruling Body:
BCSCPayment Agreed/Ordered:
$16,500 plus $3,500 in costs