Disciplined List
Grafke, Ernest Reed
-
Date of Order or Settlement:
2007-01-29 -
Banned Until:
2022-01-29
Sanction:
- 15-year trading ban
- 15-year director officer ban
- 15-year investor relations ban
- An order to comply fully with the Securities Act, Securities Rules and any applicable regulations, policies and guidelines
Supporting Documents:
Violation:
- Illegal distributioin
- Unregistered activity
Ruling Body:
BCSCPayment Agreed/Ordered:
$500,000 (for restitution to the victims via the Civil Forfeiture Office)