Disciplined List
Kimmel, Roger A.
-
Date of Order or Settlement:
2010-01-25 -
Banned Until:
2016-05-05
Sanction:
- 7-year trading ban (BCSC)
- 7-year denial of exemptions (BCSC)
Supporting Documents:
Violation:
- Trading without a prospectus (ASC)
- Trading without registration (ASC)
- Failing to comply with interim CTO (ASC)
- Acting contary to public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$25,000 (ASC)