Disciplined List
Middleton, Robert Stuart
-
Date of Order or Settlement:
1996-01-05 -
Banned Until:
1999-01-05
Sanction:
- 3-year trading ban with conditions
- 3-year director/officer ban with conditions
Supporting Documents:
Violation:
- Failure to file insider reports
- Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000