Disciplined List
Carter, Roy
-
Date of Order or Settlement:
1994-07-22 -
Banned Until:
1999-07-22
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban with conditions
Supporting Documents:
Violation:
- Failure to file financial reports
- Failure to comply with Orders of the Commission
Ruling Body:
BCSCPayment Agreed/Ordered:
Costs