Disciplined List
Di Fonzo, Mario
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Date of Order or Settlement:
2011-01-20 -
Banned Until:
2020-09-01
Sanction:
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10-year ban from relying on any exemptions set out in the Securities regulations
Supporting Documents:
Violation:
- Trading without Registration and Prospectus (MSC)
Conflict of Interest (MSC)
Unsuitable investments (MSC)