Disciplined List
Wharram, Rodney Jack
-
Date of Order or Settlement:
2015-02-25
Sanction:
Permanent ban from purchasing and trading in securities or exchange contracts- 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:
- Fraud
- Making false or misleading statements
Ruling Body:
BCSCPayment Agreed/Ordered:
$517,500 plus an administrative penalty of $500,000