Disciplined List
Lyall, David
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Date of Order or Settlement:
1999-04-06
Sanction:
-
An undertaking to comply with the Securities Act and the Securities Rules
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to comply with Conflict of Interest policies
- Failure to fulfill his role as gatekeeper
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000 plus $10,000 in costs