Disciplined List
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)Payment Agreed/Ordered:
$5,000 (BCSC)