Disciplined List
Johnston, John Brian
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Date of Order or Settlement:
2000-07-18
Sanction:
- An undertaking to comply with the Securities Act and Securities Rules
- An undertaking to successfully complete the Conduct and Practices Handbook Exam by no later than May 31, 2001
Supporting Documents:
Violation:
- Failure to comply with the "Know Your Client" rule
- Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$77,000 in disgorgement of fees collected, $20,000 fine, $5,000 in costs