Disciplined List
Sayler, Richard Wayne
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Date of Order or Settlement:
2011-04-05
Sanction:
- 10-year ban from purchasing and trading in securities or exchange contracts with conditions
- 10-year ban denial of exemptions (with conditions)
- 10-year director/officer ban
- 10-year ban from acting in a management or consultative capacity in connection with activities in the securities market
Supporting Documents:
Violation:
- Acting contrary to public interest (ASC)
- Illegal distributions (ASC)
- Prohibited representations (ASC)