Sanctions Director/Officer/Supervisor Ban Trading ban with or without conditions Administrative Penalty/Fine Registration ban/restrictions Reprimand Disgorgement/Restitution Acquisitions ban Exemption inapplicable
The SEC won a default against Mr. Boock on March 26, 2010, and has been attempting to obtain his banking records in Canada for several months to help determine his penalty. The regulator has complained several times about little co-operation from Mr. Boock in obtaining the records, and recently sought the assistance of the Ontario courts.
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