Disciplined List
Helmig, Renee Marie aka Helmig, Nisha
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Date of Order or Settlement:
2009-08-18 -
Banned Until:
2019-08-18
Sanction:
- An Order to comply fully with the Securities Act, Securities Rules and regulations
- 10-year trading ban with conditions 10-year director/officer ban
- 10-year ban from acting in a managing or consultative capacity in connection with activities in the securities market
10-year investor relations ban
Supporting Documents:
Violation:
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Unregistered trading
Illegal distribution
Misrepresentations
Acting contrary to the public interest