Disciplined List
Ross, Nicholas Michael
-
Date of Order or Settlement:
1995-02-06 -
Banned Until:
1995-11-06
Sanction:
- 3-year trading ban (beginning on November 6, 1992)
- 3-year director/officer ban (beginning on November 6, 1992)
Supporting Documents:
Violation:
-
Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$5,000