Disciplined List
Ma, Alexander Kwong Chao
-
Date of Order or Settlement:
1995-06-07 -
Banned Until:
2005-06-07
Sanction:
- 10-year trading ban
- 10-year director/officer ban
Supporting Documents:
Violation:
- Unregistered distribution
- Unregistered trading
- Unregistered advising
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000