Disciplined List
Barker, Ronald Stephen
-
Date of Order or Settlement:
2005-03-04
Sanction:
- Permanent trading ban with conditions
- Permanent director/officer ban with conditions
- Permanent investor relations ban
Supporting Documents:
Violation:
- Unregistered trading
- Illegal distribution
- Unregistered advising
- Misrepresentation
- Fraud
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$250,000 plus $58,845.89 in costs