Disciplined List
Everett, Theodore Robert
-
Date of Order or Settlement:
2014-07-03
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts
- Permanent director/officer ban
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
-
Illegal
distribution
Breach of order
Fraud
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,433,189 in disgorgement and a
$7,000,000 penalty