DISCIPLINED PERSONS LIST
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| Name | Lyall, David |
|---|---|
| Date of Order or Settlement | April 6, 1999 |
| Sanction | An undertaking to comply with the Securities Act and the Securities Rules |
| Payment Agreed / Ordered | $15,000 plus $10,000 in costs |
| Violation |
Unregistered distribution Failure to comply with Conflict of Interest policies Failure to fulfill his role as gatekeeper |
| Ruling Body | BCSC |
| Supporting Documents |
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