Disciplined List
West, Roger James Joseph
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Date of Order or Settlement:
1991-06-12 -
Banned Until:
1993-06-07
Sanction:
- 2-year trading ban
- An undertaking to ensure that all future distributions are in compliance with the Securities Act
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to abide by terms of previous agreement with the Commission (see Settlement/Order)
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,250