DISCIPLINED PERSONS LIST
[Print]
| Name | Cramer, Grant Claude |
|---|---|
| Date of Order or Settlement | November 19, 2004 |
| Banned Until | August 21, 2009 |
| 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 |
| Payment Agreed / Ordered |
Up to $15,000 of which $5,000 represents the costs of of the investigation (See Settlement/Order) |
| 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 |
| Supporting Documents |
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