Disciplined List
Barnscher, Walter Leo
-
Date of Order or Settlement:
2004-04-02 -
Banned Until:
2007-04-02
Sanction:
- 3-year trading ban with conditions
- 3-year director/officer ban with conditions
- 3-year investor relations ban
- An undertaking to comply with the Securities Act
Supporting Documents:
Violation:
- Unregistered distribution
- Unregistered trading
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$6,500 plus $3,500 in costs