Disciplined List
Cramer, Grant Claude
-
Date of Order or Settlement:
2004-11-19 -
Banned Until:
2009-08-21
Sanction:
- 8-year trading ban with conditions
- 8-year director/officer ban with conditions
- 8-year investor relations ban
- An undertaking not to apply for registration under the Securities Act for 8 years
Supporting Documents:
Violation:
- Illegal distribution
- Failure to deal fairly, honestly and in good faith with clients
- Failure to comply with Know Your Client and suitability rules
Ruling Body:
BCSCPayment Agreed/Ordered:
Up to $15,000 of which $5,000 represents the costs of of the investigation (See Settlement/Order)