Disciplined List
Chappell, Gordon Charles
-
Date of Order or Settlement:
1997-10-22 -
Banned Until:
2009-10-22
Sanction:
- 12-year trading ban
- 12-year director/officer ban with conditions
- 12-year investor relations ban
Supporting Documents:
Violation:
- Unregistered trading
- Unregistered advising
- "Cold calling" residences to effect trades in securities (operating a "boiler room")
Ruling Body:
BCSCPayment Agreed/Ordered:
$25,000 plus $7,706.60 in costs