Disciplined List
Riemens, David Bentley
-
Date of Order or Settlement:
2007-02-12 -
Banned Until:
2017-02-12
Sanction:
- 10-year trading ban with conditions
- 10-year director/officer ban
- 10-year investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules and any applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered activity
- Misrepresentations
- Acting contrary to the public interest