Disciplined List
Williams, John Philip MacKenzie
-
Date of Order or Settlement:
1996-03-18
Sanction:
- Reprimanded
- As a condition of any future registration, Williams must take and pass the course or examination required for his category of registration, even if he had completed the course or examination prior to the date of this decision
Supporting Documents:
Violation:
- Unregistered trading
- Unregistered advising
- Prohibited representations
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,000 plus $1,190.65 in costs