Disciplined List
Wong, Philip
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Date of Order or Settlement:
2010-01-25
Sanction:
- Permanent trading ban
- Permanent director/officer ban
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
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Securities fraud (US Courts)