Disciplined List
Ross, Aaron
-
Date of Order or Settlement:
2012-12-13 -
Banned Until:
2014-12-13
Sanction:
- 2-year investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
-
Misrepresentations
Ruling Body:
BCSCPayment Agreed/Ordered:
$2,500