Disciplined List
Malone, William Raymond
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Date of Order or Settlement:
2016-10-03 -
Banned Until:
2023-10-03
Sanction:
- 7-year director/officer ban (2016)
- 7-year ban from becoming or acting as a registrant or promoter (2016)
- 7-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2016)
- 7-year investor relations ban (2016)
- A requirement to complete a course of studies satisfactory to the executive director concerning the duties and responsibilities of directors and officers (2016)
- 3-year director/officer ban with conditions (2009)
- 3-year investor relations ban with conditions (2009)
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations (2009)
Supporting Documents:
Violation:
- Breach of Order (2016)
- Misrepresentation (2009)
- Acting contrary to the public interest (2009)
Ruling Body:
BCSCPayment Agreed/Ordered:
$60,000 (2016) $50,000 (2009)