Disciplined List
Ellis, Brian Jonathan
-
Date of Order or Settlement:
2001-10-02 -
Banned Until:
2002-10-02
Sanction:
- 1-year trading ban with conditions
- An undertaking to comply with the provisions of the Securities Act and the Securities Rules
Supporting Documents:
Violation:
-
Failure to file insider reports
Ruling Body:
BCSCPayment Agreed/Ordered:
$4,000 plus $1,000 in costs