Disciplined List
Grafton, George Melvin
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Date of Order or Settlement:
2004-12-31
Sanction:
- Permanent trading ban with conditions
- Permanent director/officer ban with conditions
- Permanent investor relations ban
Supporting Documents:
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