Disciplined List
Wolverton, Brent
-
Date of Order or Settlement:
2005-05-09
Sanction:
- An Order to fully comply with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines.
Supporting Documents:
Violation:
- Failure to fully and properly supervise employees
Ruling Body:
BCSCPayment Agreed/Ordered:
$20,000 plus $10,000 in costs