Disciplined List
Dowling, Michael John
-
Date of Order or Settlement:
2002-05-06 -
Banned Until:
2007-05-06
Sanction:
- 5-year director/officer ban with conditions
- 2-year investor relations ban
- An undertaking to comply fully with the Securities Act, Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
-
Unregistered distribution