Disciplined List
Kagna, Elliot
-
Date of Order or Settlement:
2006-03-21
Sanction:
- An Order to fully comply with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
- Two years of close supervision by an Investment Dealers Association member
- A requirement to complete the Conduct and Practices Handbook Course within six months
Supporting Documents:
Violation:
- Failure to act as a gatekeeper
Failure to comply with "Know Your Client" rules
Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$50,000