Disciplined List
McMillan, Hugh Alexander
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Date of Order or Settlement:
1997-08-07
Sanction:
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An undertaking to comply with the Securities Act, the Securities Rules and all applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Unregistered advising
- Prohibited representations
- Prohibited advertising
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,500