Disciplined List
Kriese, Roberta Jane
-
Date of Order or Settlement:
1999-02-16 -
Banned Until:
2000-02-16
Sanction:
- 1-year trading ban with conditions
- An undertaking to comply with the Securities Act, the Securities Rules, and all applicable regulation, policies, and guidlines
Supporting Documents:
Violation:
-
Unregistered trading
- Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$3,000 fine and $2,000 in costs