Disciplined List
Jones, Simon Granville Lyn
-
Date of Order or Settlement:
1997-09-05 -
Banned Until:
2007-09-05
Sanction:
-
10-year ban with conditions from acting as a trading partner, officer or director of a registered dealer or in any capacity as a supervisor of registrants
Supporting Documents:
Violation:
- Failure to adequately supervise sales representatives
Ruling Body:
BCSCPayment Agreed/Ordered:
$60,000