Disciplined List
Workum, Peter Jay (or J.)
-
Date of Order or Settlement:
2011-04-05
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts
- Permanent denial of exemptions
- Permanent director/officer ban
Supporting Documents:
Violation:
- Acting contrary to public interest (ASC)
- Insider trading (ASC)
- Market manipulation (ASC)
- Prohibited representations (ASC)