Defendant Name: Douglas P. Barton

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA
First Document Date 27-Sep-2016
Initial Filing Format Administrative Action
File Number 3-17583
Allegation Type Issuer Reporting and Disclosure
AAER 3807

Affiliations

Violations Alleged

Other
• Rule 13b2-1 Exchange Act

Related Violations Alleged

Douglas P. Barton is alleged to have caused Orrstown Financial Services, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Douglas P. Barton is alleged to have caused Orrstown Financial Services, Inc.'s violation of Sec 13(a) of the Exchange Act.
Douglas P. Barton is alleged to have caused Orrstown Financial Services, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Douglas P. Barton is alleged to have caused Orrstown Financial Services, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Douglas P. Barton is alleged to have caused Orrstown Financial Services, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 27-Sep-2016
Headline Total Penalty and Disgorgement $1,325,000

Related Documents:

33-10222 27-Sep-2016 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

Other Defendants in Action:

Orrstown Financial Services, Inc.
Jeffrey W. Embly
Bradley S. Everly
Thomas R. Quinn