Disciplined List
Speckert, Erwin Thomas
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Date of Order or Settlement:
2014-12-18 -
Banned Until:
2019-12-18
Sanction:
- 5-year trading ban with conditions
- 5-year director/officer ban
- 5-year ban from becoming or acting as a registrant or promoter
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 5-year investor relations ban
Supporting Documents:
Violation:
-
Acting contrary to the public
interest