Savics, Eric

Date of Order or Settlement:
1999-04-09
Banned Until:
Sanction:
    An undertaking to comply fully with the provisions of the Securities Act and Securities Rules and to comply with the provisions of the First Marathon Employee Investment Policy
Supporting Documents:
Violation:

    Unregistered distribution

    Failure to comply with Conflict of Interest policies 

    Failure to fulfill the duties and responsibilities of a gatekeeper

Ruling Body:
BCSC
Sanction Payment Status:
$15,000 plus $10,000 in costs