Disciplined List
Stickley, Douglas Russell
-
Date of Order or Settlement:
1998-04-24 -
Banned Until:
2000-05-01
Sanction:
- 4-month ban from selling mutual funds with conditions
- 2 years of close supervision
Supporting Documents:
Violation:
- Failure to act in the client's best interest
- Misrepresentations
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000