Disciplined List
Oslund, Dianne
-
Date of Order or Settlement:
2005-10-31 -
Banned Until:
2020-10-31
Sanction:
- 15-year trading ban
- 15-year director/officer ban with conditions
- 15-year investor relations ban
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Misrepresentation
- Fraud
- Unregistered trading
- Illegal distribution