Disciplined List
Barry, Timothy James
-
Date of Order or Settlement:
1999-02-16 -
Banned Until:
2000-02-16
Sanction:
- One-year trading ban
- An undertaking to comply with the Securities Act
Supporting Documents:
Violation:
-
Unregistered trading
- Unregistered distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$3,000 plus $2,000 in costs