Disciplined List
Riis, Nelson
-
Date of Order or Settlement:
2009-01-29 -
Banned Until:
2011-01-29
Sanction:
- 2-year director/officer ban with conditions
- 2-year investor relations ban with conditions
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Misrepresentation
- Failure to fulfill the duties and responsibilities of a director
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$40,000