Disciplined List
Jukes, Andrew Richard
-
Date of Order or Settlement:
2002-09-11
Sanction:
- An undertaking to comply with the Securities Act, Securities RUles and all applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Unregistered advising
- Unregistered trading
Ruling Body:
BCSCPayment Agreed/Ordered:
$4,500 plus $500 in costs