Disciplined List
Furrer, Richard
-
Date of Order or Settlement:
1997-11-18 -
Banned Until:
2000-11-18
Sanction:
- 3-year director/officer ban
- 3 -year investor relations ban
Supporting Documents:
Violation:
- Unregistered advising
- Prohibited representations
- Unregistered distribution
- Misrepresentations
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,000 in costs