Disciplined List
Erickson, Kenneth Arthur
-
Date of Order or Settlement:
1999-12-14
Sanction:
- Permanent trading ban
- Permanent director/officer ban
- Permanent investor relations ban
Supporting Documents:
Violation:
- Unregistered trading
- Unregistered distribution
- Misrepresentation
Ruling Body:
BCSCPayment Agreed/Ordered:
$100,000 plus $19,351.20 in costs