Disciplined List
Johnson, Alvin Lee
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Date of Order or Settlement:
2008-10-24
Sanction:
- Permanent ban from purchasing and trading in securities or exchange contracts 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
- An order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations
Supporting Documents:
Violation:
- Illegal distribution
- Misrepresentations
- Acting contrary to the public interest