Disciplined List
Conn, Ronald James
-
Date of Order or Settlement:
1997-02-07 -
Banned Until:
2012-02-07
Sanction:
- 15-year trading ban
- 15-year director/officer ban
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered trading
- Unregisted advising
- Misrepresentations
- Failure to deal fairly, honestly, and in good faith with clients
Ruling Body:
BCSCPayment Agreed/Ordered:
$50,000 and costs of $1555