Disciplined List
Kroeker, Tracy Lee
-
Date of Order or Settlement:
2008-04-07 -
Banned Until:
2014-10-09
Sanction:
- 7-year trading ban with conditions
- 7-year director/officer ban with conditions
- 7-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 7-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 7-year investor relations ban
Supporting Documents:
Violation:
- Unregistered trading (ASC)
- Illegal distribution (ASC)
- Acting contrary to the public interest (ASC)
Ruling Body:
BCSC, Alberta Securities Commission (ASC)Payment Agreed/Ordered:
$45,000 (ASC)