Disciplined List
Carriere, Germain
-
Date of Order or Settlement:
2002-09-06
Sanction:
- An undertaking to comply with the Securities Act, Securities Rules, and applicable regulations
Supporting Documents:
Violation:
-
Failure to fulfill the duties and responsibilities of a director
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,000 plus $4,000 in costs