Disciplined List
Tong, Richard
-
Date of Order or Settlement:
1996-03-27 -
Banned Until:
2001-03-27
Sanction:
- 5-year trading ban
- 5-year director/officer ban with conditions
Supporting Documents:
Violation:
-
Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000 plus $2,083.80 in costs