Disciplined List
Harris, Richard aka Harris III, Richard Charles
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Date of Order or Settlement:
2004-01-30
Sanction:
- Permanent trading ban (2004)
- Permanent director/officer ban (2004)
- Permanent investor relations ban (2004)
- An undertaking to comply fully with the Securities Act, the Securities Rules and any applicable regulations, policies and guidelines (2004, 2000)
- 10-year trading ban (2000)
- 10-year director/officer ban (2000)
- 10-year investor relations ban (2000)
Supporting Documents:
Violation:
- Stock manipulation (2004)
- Unregistered distribution (2004)
- Acting contrary to the public interest (2004, 2000)
- Breach of a Cease Trade Order (2004)
- Misrepresentations (2000)