Disciplined List
Muir, Kenneth
-
Date of Order or Settlement:
1999-05-25 -
Banned Until:
1999-08-31
Sanction:
- 30-day registration suspension plus 12 months of strict supervision
- An undertaking to fully comply with the Securities Act, Securities Rules and the bylaws, rules and policies of the Exhchange
- An undertaking to rewrite the conduct and practices exam
Supporting Documents:
Violation:
- Failure to obtain written trading authorization
- Engaging in unfair trading practices
Ruling Body:
BCSCPayment Agreed/Ordered:
$35,000 plus $5,000 in costs