Grafton, George Melvin

Date of Order or Settlement:
2004-12-31
Banned Until:
Sanction:

    Permanent trading ban with conditions

    Permanent director/officer ban with conditions

    Permanent investor relations ban

Supporting Documents:
Violation:

    Misrepresentation

    Failure to disclose a conflict of interest

    Failure to comply with suitability rules

    Acting as a portfolio manager or investment counsel without registration

    Failure to deal fairly, honestly and in good faith with clients

    Acting contrary to the public interest

Ruling Body:
BCSC
Sanction Payment Status: