Disciplined List
Koenig, Trevor
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Date of Order or Settlement:
2006-03-06
Sanction:
- Permanent trading ban with conditions
- Permanent director/officer ban
- Permanent investor relations ban
- An undertaking to never apply for registration undert the Securities Act
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Failure to act as gatekeeper
- Failure to comply with "Know Your Client" rules
- Market manipulation
- Fraud
- Lying to a Commission investigator
- Acting contrary to the public interest