Disciplined List
Gill, Bharpur Singh
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Date of Order or Settlement:
1999-09-22
Sanction:
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An undertaking not to trade any securities under a registration and prospectus exemption except from his own account with conditions
Supporting Documents:
Violation:
- Unregistered advising
- Failure to comply with "Know Your Client", "Fair Dealing" and "Suitability of Investments" rules
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,500 plus $1,000 in costs