DISCIPLINED PERSONS LIST

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 New window
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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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