Disciplined List
Rivers, Gregory William
-
Date of Order or Settlement:
2008-02-15 -
Banned Until:
2020-02-15
Sanction:
- 12-year trading ban with conditions
- 12-year director/officer ban with conditions
- 12-year investor relations ban
- An Order to comply full with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered trading
- Misrepresentations
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000