Disciplined List
Nielsen, Frederick Johnathon
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Date of Order or Settlement:
2011-03-25 -
Banned Until:
2036-03-25
Sanction:
- 25-year ban from purchasing and trading in securities or exchange contracts with conditions
- 25-year director/officer ban
- 25-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 25-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 25-year investor relations ban
Supporting Documents:
Violation:
- Cold calling
- Unregistered trading