DISCIPLINED PERSONS LIST
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| 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 
|
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