DISCIPLINED PERSONS LIST

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

News Release

Settlement/Order New window

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