Disciplined List
Nitta, Theodore
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Date of Order or Settlement:
2011-05-06 -
Banned Until:
2026-05-06
Sanction:
- 15-year trading ban (with conditions)
- 15-year director/officer ban (with conditions)
- 15-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 15-year ban from acting in a managing or consultative capacity in connection with activities in the securities market
- 15-year investor relations ban
Supporting Documents:
Violation:
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Illegal distribution