Disciplined List
Dean, Nizam
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Date of Order or Settlement:
2014-03-14 -
Banned Until:
2015-03-14
Sanction:
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1-year trading ban (with conditions)
1-year director/officer ban (with conditions)
1-year ban from acting in a management or consultative capacity in connection with activities in the securities market
1-year investor relations ban
Supporting Documents:
Violation:
-
Illegal
distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$10,000