Disciplined List
Croft, Thomas Landon
-
Date of Order or Settlement:
2001-03-22 -
Banned Until:
2009-03-22
Sanction:
- 8-year trading ban
- 8-year director/officer ban
- 8-year investor relation ban
- An undertaking to complete a course satisfactory to the Executive Director concerning the duties of officers and directors of public companies in this jurisdiction
Supporting Documents:
Violation:
- Unregistered trading
- Unregistered distribution
- "Cold calling" residences to effect trades in securities
Ruling Body:
BCSCPayment Agreed/Ordered:
$7,000 plus $3,000 in costs