Disciplined List
Klippenstein, John
-
Date of Order or Settlement:
2004-05-28 -
Banned Until:
2014-05-28
Sanction:
- 10-year trading ban with conditions
- 10-year director/officer ban with conditions
- 10-year investor relations ban
Supporting Documents:
Violation:
- Unregistered trading
- Illegal distribution
- Prohibited representations
Ruling Body:
BCSCPayment Agreed/Ordered:
$100,000 plus $20,000 in costs