Disciplined List
Garrod, Randall Kane
-
Date of Order or Settlement:
2001-10-26 -
Banned Until:
2006-10-26
Sanction:
- 5-year trading ban
- 5-year director/officer ban
- 5-year investor relations ban
Supporting Documents:
Violation:
- Failure to deal fairly, honestly and in good faith with a client
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000 plus $6,143.74