Disciplined List
Ekren, Chad Raymond
-
Date of Order or Settlement:
1997-04-01
Sanction:
- Six months strict supervision
- An undertaking to comply fully with the Securities Act, Securities Rules and all applicable regulations
Supporting Documents:
Violation:
-
Failure to comply with the "Know Your Client" rule
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,000