DISCIPLINED PERSONS LIST
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| Name | Savics, Eric |
|---|---|
| Date of Order or Settlement | April 9, 1999 |
| Sanction | An undertaking to comply fully with the provisions of the Securities Act and Securities Rules and to comply with the provisions of the First Marathon Employee Investment Policy |
| Payment Agreed / Ordered | $15,000 plus $10,000 in costs |
| Violation |
Unregistered distribution Failure to comply with Conflict of Interest policies Failure to fulfill the duties and responsibilities of a gatekeeper |
| Ruling Body | BCSC |
| Supporting Documents |
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