Plumacher, Edward John

Date of Order or Settlement:
1998-01-26
Banned Until:
2006-01-26
Sanction:

    8-year trading ban (BCSC)

    8-year director/officer ban with conditions (BCSC)

    8-year investor relations ban (BCSC)

Supporting Documents:
Violation:

    Failure to file insider reports (BCSC)

    Misrepresentation (BCSC)

    Unauthorized margin trading (AMEX)

    Unauthorized stock and options trading (AMEX)

    Filing false information (AMEX)

    Churning client accounts (AMEX)

Ruling Body:
BCSC, American Stock Exchange (AMEX)
Sanction Payment Status:
$5,000 (BCSC)