Disciplined List
Kelly, Ralph Bartholemew
-
Date of Order or Settlement:
2008-10-21
Sanction:
- Permanent trading ban with conditions
- Permanent director/officer ban
- Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
- Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
- Permanent investor relations ban
Supporting Documents:
Violation:
- Fraud
- Illegal distribution
- Unregistered trading
- Misrepresentations
Ruling Body:
BCSCPayment Agreed/Ordered:
$200,00 plus not less than $242,153.60 in disgorgement