Disciplined List
Smith, Richard John
-
Date of Order or Settlement:
2004-07-27
Sanction:
- Permanent trading ban
- Permanent director/officer ban with conditions
- Permanent investor relations ban
Supporting Documents:
Violation:
- Unregistered activity
- Illegal distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$250,000 plus $10,312 in costs