Disciplined List
Wied, James Albert
-
Date of Order or Settlement:
1998-04-24
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
Supporting Documents:
Violation:
- Prohibited personal financial transactions with a client
- Unregistered trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$2,000 plus $1,000 in costs