Disciplined List
Koch, Caspar
-
Date of Order or Settlement:
2004-01-07 -
Banned Until:
2006-01-07
Sanction:
- 2-year trading ban with conditions
- 2-year director/officer ban with conditions
Supporting Documents:
Violation:
- Failure to give notice of the intention to distribute shares as is required of a control person
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000 plus $5,000 in costs