Disciplined List
Dennis, Carey Brian
-
Date of Order or Settlement:
2005-06-01 -
Banned Until:
2035-06-01
Sanction:
- 30-year trading ban with conditions
- 30-year director/officer ban
- 30-year investor relations ban
Supporting Documents:
Violation:
- Fraud
- Failure to deal fairly, honestly and in good faith with clients
Ruling Body:
BCSCPayment Agreed/Ordered:
$200,000 plus $21,140.36 in costs