Disciplined List
Leiske, Kenneth Kim
-
Date of Order or Settlement:
2004-04-15 -
Banned Until:
2016-04-15
Sanction:
- 12-year trading ban with conditions
- 12-year director/officer ban with conditions
- 12-year investor relations ban
- An undertaking to comply with the Securities Act and Securities Rules
- An undertaking not to apply for registration for 12 years
- An order to cease trading in the securities of Aspen Capital, Cambria, and Aspen Group
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered trading
- Misrepresentation
- Failure to fulfill the duties and responsibilities of a director
- Acting contrary to the public interest