Disciplined List
Fernback, Timothy
-
Date of Order or Settlement:
2005-05-09
Sanction:
- An order to fully comply with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines.
Supporting Documents:
Violation:
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000 plus $5,000 in costs