DISCIPLINED PERSONS LIST

Name Wied, James Albert
Date of Order or Settlement April 24, 1998
Sanction

12 months of strict supervision following any registration

An undertaking to comply with the Securities Act, Securities Rules or any applicable regulations, policies and guidelines

Payment Agreed / Ordered $2,000 plus $1,000 in costs
Violation

Prohibited personal financial transactions with a client

Unregistered trading

Ruling Body BCSC
Supporting Documents Settlement/Order New window
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