Disciplined List
Alter, Jacob Jackie
-
Date of Order or Settlement:
2004-01-23 -
Banned Until:
2010-01-23
Sanction:
- 6-year trading ban with conditions
- 6-year director/officer ban with conditions
- 6-year investor relations ban
Supporting Documents:
Violation:
- Illegal distribution
- Failure to comply with the "Know Your Client" rules