Disciplined List
Moore, Robert Emerson
-
Date of Order or Settlement:
1997-03-13 -
Banned Until:
2002-03-13
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban with conditions
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to disclose material facts
- Failure to file insider reports
Ruling Body:
BCSCPayment Agreed/Ordered:
$100,000