Disciplined List
With, Alan Geoffrey
-
Date of Order or Settlement:
2010-04-07 -
Banned Until:
2013-04-07
Sanction:
- 3-year trading ban with conditions
- 3-year director/officer ban with conditions
- 3-year investor relations ban with conditions
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered trading
- Acting contrary to the public interest