Disciplined List
Savics, Eric
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Date of Order or Settlement:
1999-04-09
Sanction:
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An undertaking to comply fully with the provisions of the Securities Act and Securities Rules and to comply with the provisions of the First Marathon Employee Investment Policy
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to comply with Conflict of Interest policies
- Failure to fulfill the duties and responsibilities of a gatekeeper
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000 plus $10,000 in costs