Disciplined List
Heise-Steele, Sherry Lynne
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Date of Order or Settlement:
1992-09-09
Sanction:
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An undertaking to comply with the Securities Act, the Securities Regulation, and any applicable policies
Supporting Documents:
Violation:
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Acting as a mutual funds salesperson without registration
Ruling Body:
BCSCPayment Agreed/Ordered:
$1,000