Disciplined List
Flickinger II, Robert Lee
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Date of Order or Settlement:
2011-10-25
Sanction:
- Permanent trading ban
- Permanent director/officer ban
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
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Fraud
Ruling Body:
BCSCPayment Agreed/Ordered:
$12 million plus $6 million in disgorgement