Disciplined List
Schwab, Victor
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Date of Order or Settlement:
2008-10-24 -
Banned Until:
2018-10-24
Sanction:
- 10-year trading ban with conditions
- 10-year director/officer ban with conditions
- 10-year ban from becoming or acting as a registrant, investment fund manager or promoter
- 10-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 10-year investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Acting contrary to the public interest