Disciplined List
Sears, Thomas Joseph
-
Date of Order or Settlement:
2011-06-21 -
Banned Until:
2031-06-21
Sanction:
- 20-year ban from purchasing and trading in securities or exchange contracts
- 20-year director/officer ban
- 20-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 20-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 20-year ban investor relations ban
Supporting Documents:
Violation:
- Illegal distribution
- Misrepresentations
- Telephoning residences for the purpose of trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,895,500 in disgorgement and a $1.9 million administrative penalty