Disciplined List
de La Boursodière, Teresa Kathleen
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Date of Order or Settlement:
2016-05-18 -
Banned Until:
2019-05-18
Sanction:
- 3-year trading ban with conditions
- 3-year ban from becoming or acting as an adviser
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
-
Unregistered advising
Ruling Body:
BCSCPayment Agreed/Ordered:
$7,500