Disciplined List
O'Neill, Kerry John
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Date of Order or Settlement:
2009-09-09
Sanction:
An Order to comply fully with the Securities Act, Securities Rules and any applicable regulations
Permanent trading ban with conditions
Permanent director/officer ban
Permanent ban from acting in a managing or consultative capacity in connection with activities in the securities market
Permanent investor relations ban
Supporting Documents:
Violation:
- Unregistered trading
- Illegal distribution
- Misrepresentations
- Fraud
- Acting contrary to the public interest