Disciplined List
Grossman, Al aka Grossman, Abraham Herbert; Grossman, Allen
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Date of Order or Settlement:
2008-07-15 -
Banned Until:
2027-11-06
Sanction:
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20-year ban from purchasing and trading in securities or exchange contracts (BCSC)
- 20-year director/officer ban (BCSC)
- 20-year ban from becoming or acting as a registrant, investment fund manager or promoter (BCSC)
- 20-year ban from acting in a managing or consultative capacity in connection with activities in the securities market (BCSC)
- 20-year investor relations ban (BCSC)
Supporting Documents:
Violation:
- Illegal distribution (ASC)
- Failure to file reports of exempt distribution (ASC)
- Misrepresentations (ASC)
- Unfair practice (ASC)
- Making false statements (ASC)
- Acting contrary to the public interest (ASC)