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Re: ddls post# 169238

Sunday, 01/20/2019 1:33:33 PM

Sunday, January 20, 2019 1:33:33 PM

Post# of 333839
He is barred for 5 years for the following:

https://www.sec.gov/litigation/admin/2018/33-10594.pdf

Respondent A. Whelan be, and hereby is, barred, for a period of five years, from
participating in an offering of penny stock, including engaging in activities with a broker, dealer, or
issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of
any penny stock. A penny stock is any equity security that has a price of less than five dollars,
except as provided in Rule 3a51-1 under the Exchange Act [17 C.F.R. 240.3a51-1].



His Daughter is barred for one year.

Respondent K. Whelan be, and hereby is, barred, for a period of 1 year, from
participating in an offering of penny stock, including engaging in activities with a broker, dealer, or
issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of
any penny stock. A penny stock is any equity security that has a price of less than five dollars,
except as provided in Rule 3a51-1 under the Exchange Act [17 C.F.R. 240.3a51-1].