Disciplined List
Sivertson, Ralph A.
-
Date of Order or Settlement:
2000-01-25 -
Banned Until:
2015-01-25
Sanction:
- 15-year trading ban
- 15-year director officer ban
- 15-year investor relations ban
Supporting Documents:
Violation:
- Failure to fulfill the duties and responsibilities of a director
- Acting contrary to the public interest
- Unregistered distribution
- Unregistered trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$9,000 plus $5,000 in costs