Disciplined List
Whorley, Donald Lynn
-
Date of Order or Settlement:
1997-02-18 -
Banned Until:
2012-02-18
Sanction:
- 15-year trading ban (1997)
- 15-year director/officer ban with conditions (1997)
- 5-year trading ban (1993)
- 5-year director/officer ban (1993)
Supporting Documents:
Violation:
- Unregistered distribution (1997)
- Failure to fulfill responsibilities of a director (1997)
- Failure to disclose material facts (1997)
- Fraud (1993)
Ruling Body:
BCSCPayment Agreed/Ordered:
$15,000 (1997)
$ 9,872.66 in costs (1993)