Disciplined List
Busto, Dominic
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Date of Order or Settlement:
2006-04-28
Sanction:
- An Order to fully comply with the Securities Act, Rules and regulations
- Conditions placed upon Busto's registration:
Two years of close supervision
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
- Failure to observe anti-money laundering standards
- Acting contrary to the public interest
Ruling Body:
BCSCPayment Agreed/Ordered:
$50,000