Disciplined List
Arlitt, John Louis
-
Date of Order or Settlement:
1998-08-12
Sanction:
- An undertaking to comply with the Securities Act
- Permanently refrain from distributing any copies of the February 1 and 10, 1998 and March 1 and 10, 1998 copies of the Trader
Supporting Documents:
Violation:
- Unregistered advising
- Misrepresentations
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000