Disciplined List
Tan, Sean
-
Date of Order or Settlement:
2012-11-13 -
Banned Until:
2015-11-13
Sanction:
- 3-year director/officer ban with conditions
- 3-year investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
-
Illegal distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000