Disciplined List
Tracy, Jeannie
-
Date of Order or Settlement:
2008-08-12
Sanction:
- Permanent trading with conditions (BCSC)
Supporting Documents:
Violation:
- Unregistered trading (NBSC)
- Unregistered solicitation (NBSC)
Ruling Body:
BCSC, New Brunswick Securities Commission (NBSC)Payment Agreed/Ordered:
$2,500 plus $500 in costs (NBSC)