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Enforcement

Disciplined List

Bateman, Larry Duane

  • Date of Order or Settlement:

    2001-07-05

  • Banned Until:

    2003-07-05

Sanction:

    2-year trading ban with conditions

Supporting Documents:

Violation:

    Unregistered trading

Ruling Body:

BCSC

Payment Agreed/Ordered:

$13,000 plus $2,000 in costs