Disciplined List
Smith, Richard Albert James
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Date of Order or Settlement:
2004-03-29 -
Banned Until:
2007-03-29
Sanction:
- 3-year trading ban with conditions
- 3-year director/officer ban with conditions
- 3-year investor relations ban
- An undertaking to comply with the Securities Act and Securitie Rules
- An undertaking not to apply for registration for 3 years from the date of the Order
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered trading