DISCIPLINED PERSONS LIST
[Print]
| 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 |
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