Disciplined List
Bass, Christopher James G.
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Date of Order or Settlement:
2014-01-17 -
Banned Until:
2019-01-16
Sanction:
5-year ban from purchasing and trading in securities or exchange contracts (with conditions) (2014)- 5-year director/officer ban (with conditions) (2014)
- 5-year ban from becoming or acting as a promoter (with conditions) (2014)
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (with conditions) (2014)
- 5-year investor relations ban (with conditions) (2014)
- 4-year trading ban (1988)
- 4-year director/officer ban (1988)
Supporting Documents:
Violation:
- Illegal distribution (2013)
- Misrepresentation (1988)
- Failure to fulfill responsibilities of a director (1988)
Ruling Body:
BCSCPayment Agreed/Ordered:
$21,500 in disgorgement (Varied (Stayed) – January 15, 2018) plus a $10,000 administrative penalty
$3,500 in costs (1992)