Disciplined List
Sowemimo, Abiodun Sofoluwe
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Date of Order or Settlement:
2001-07-12 -
Banned Until:
2011-07-12
Sanction:
- 10-year trading ban with conditions
- 10-year director/officer ban with conditions
- 10-year investor relations ban
- An undertaking not to seek registration under the Securities Act for 10 years
Supporting Documents:
Violation:
- Fraud
- Failure to deal fairly, honestly and in good faith with clients