DISCIPLINED PERSONS LIST
[Print]
| Name | Smith, William Neil |
|---|---|
| Date of Order or Settlement | October 10, 1989 |
| Banned Until | May 31, 1994 |
| Sanction |
5-year trading ban 5-year director/officer ban |
| Violation |
Unregistered distribution Unregistered advising |
| Ruling Body | BCSC |
| Supporting Documents |
Settlement/Order 
|
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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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