Enforcement

Disciplined List

Cramer, Grant Claude

Date of Order or Settlement:

2004-11-19
Banned Until:

2009-08-21

Sanction:

8-year trading ban with conditions
8-year director/officer ban with conditions
8-year investor relations ban
An undertaking not to apply for registration under the Securities Act for 8 years

Supporting Documents:

Violation:

Illegal distribution
Failure to deal fairly, honestly and in good faith with clients
Failure to comply with Know Your Client and suitability rules

Ruling Body:

BCSC

Payment Agreed/Ordered:

Up to $15,000 of which $5,000 represents the costs of of the investigation (See Settlement/Order)