Disciplined List
McErvel, Gaele
-
Date of Order or Settlement:
2009-11-06 -
Banned Until:
2012-11-06
Sanction:
- 3-year trading ban with conditions
- 3-year director/officer ban
- 3-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 3-year investor relations ban
Supporting Documents:
Violation:
- Unregistered trading
- Illegal distribution