Disciplined List
Botha, Basil Roy
-
Date of Order or Settlement:
2010-06-01 -
Banned Until:
2013-06-01
Sanction:
- 3-year ban from becoming or acting as an advisor
- 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:
$10,000