Malone, William Raymond

Date of Order or Settlement:
Banned Until:

    7-year director/officer ban (2016)

    7-year ban from becoming or acting as a registrant or promoter (2016)

    7-year ban from acting in a management or consultative capacity in connection with activities in the securities market (2016)

    7-year investor relations ban (2016)

    A requirement to complete a course of studies satisfactory to the executive director concerning the duties and responsibilities of directors and officers (2016)

    3-year director/officer ban with conditions (2009)

    3-year investor relations ban with conditions (2009)

    An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations (2009)

Supporting Documents:

    Breach of Order (2016)

    Misrepresentation (2009)

    Acting contrary to the public interest (2009)

Ruling Body:
Payment Agreed/Ordered:
$60,000 (2016)  $50,000 (2009)