Disciplined List
Crocker, Barry
-
Date of Order or Settlement:
2002-04-22 -
Banned Until:
2007-04-22
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban with conditions
- 5-year investor relations ban
- An undertaking to comply fully with the Securities Act, the Securities Rules, and applicable regulations
Supporting Documents:
Violation:
- Misrepresentations
- Failure to fulfill the duties and responsibilities of a director
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$12,000 plus $3,000 in costs