Disciplined List
Marlatt, Frederick Lawrence (aka Frederick Lawrence Mitschele)
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Date of Order or Settlement:
2013-07-18 -
Banned Until:
2018-07-18
Sanction:
- 5-year ban from purchasing and trading in securities or exchange contracts (with conditions)
- 5-year director/officer ban (with conditions)
- 5-year ban from becoming or acting as a registrant, investment fund manager or promoter (with conditions)
- 5-year ban from acting in a management or consultative capacity in connection with activities in the securities market (with conditions)
- 5-year investor relations ban (with conditions)
Supporting Documents:
Violation:
- Illegal distribution