Wied, James Albert

Date of Order or Settlement:
1998-04-24
Banned Until:
Sanction:

    12 months of strict supervision following any registration

    An undertaking to comply with the Securities Act, Securities Rules or any applicable regulations, policies and guidelines

Supporting Documents:
Violation:

    Prohibited personal financial transactions with a client

    Unregistered trading

Ruling Body:
BCSC
Sanction Payment Status:
$2,000 plus $1,000 in costs