Disciplined List
Cramer, Mark Clarence
-
Date of Order or Settlement:
2003-05-23 -
Banned Until:
2015-05-23
Sanction:
- 12-year trading ban with conditions
- 12-year director/officer ban with conditions
- 12-year investor relations ban with conditions
Supporting Documents:
Violation:
- Unregistered distribution
- Failure to comply with "Suitability of Investments" rules
- Failure to comply with "Fair Dealing" rules and acting contrary to the public interest (unresolved conflicts of interest)
- Misrepresentations
Ruling Body:
BCSCPayment Agreed/Ordered:
$22,500 plus $15,000 in costs, and the proceeds of the sale of any securities in the involved companies up to $142,000