Disciplined List
DiCimbriani, Alexander
-
Date of Order or Settlement:
1996-10-17 -
Banned Until:
2021-10-17
Sanction:
- 25-year trading ban
- 25-year director/officer ban with conditions
Supporting Documents:
Violation:
- Unregistered advising
- Acting as a portfolio manager without proper registration
- Failure to comply with an Order of the Commission
Ruling Body:
BCSCPayment Agreed/Ordered:
$50,000