DISCIPLINED PERSONS LIST

Name Grafton, George Melvin
Date of Order or Settlement December 31, 2004
Sanction

Permanent trading ban with conditions

Permanent director/officer ban with conditions

Permanent investor relations ban

Violation

Misrepresentation

Failure to disclose a conflict of interest

Failure to comply with suitability rules

Acting as a portfolio manager or investment counsel without registration

Failure to deal fairly, honestly and in good faith with clients

Acting contrary to the public interest

Ruling Body BCSC
Supporting Documents

News Release

Settlement/Order New window

Disclaimer:
This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.