Disciplined List
Swanney, James
-
Date of Order or Settlement:
2002-10-30 -
Banned Until:
2017-10-30
Sanction:
- 15-year trading ban
- 15-year director/officer ban with conditions
- 15-year investor relations ban
Supporting Documents:
Violation:
- Fraud
- Failure to fulfill the duties and responsibilities of a director
Ruling Body:
BCSCPayment Agreed/Ordered:
$35,000 plus costs