Disciplined List
Humeniuk, Paul M.
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Date of Order or Settlement:
2010-09-08
Sanction:
- Trading ban
- Denial of exemptions
- Ban from becoming or acting as a director or officer of any issuer, registrant or investment fund manager
- Ban from acting in a management or consultative capacity in connection with activities in the securities market
Supporting Documents:
Violation:
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Illegal distribution (SFSC)