Enforcement

Disciplined List

Williams, John Philip MacKenzie

Date of Order or Settlement:

1996-03-18

Sanction:

Reprimanded
As a condition of any future registration, Williams must take and pass the course or examination required for his category of registration, even if he had completed the course or examination prior to the date of this decision

Supporting Documents:

Violation:

Unregistered trading
Unregistered advising
Prohibited representations

Ruling Body:

BCSC

Payment Agreed/Ordered:

$1,000 plus $1,190.65 in costs