Disciplined List
Keller, Adam
-
Date of Order or Settlement:
2011-06-27
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts
- Permanent director/officer ban
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
- Fraud
Ruling Body:
BCSCPayment Agreed/Ordered:
$523,100 in disgorgement and a $1.6 million administrative penalty