Disciplined List
Ralph, Leonard George
-
Date of Order or Settlement:
2013-10-01 -
Banned Until:
2023-10-01
Sanction:
- 10-year ban from purchasing and trading in securities or exchange contracts (with conditions)
- 10-year director/officer ban
- 10-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 10-year investor relations ban
Supporting Documents:
Violation:
-
Illegal distribution
Ruling Body:
BCSCPayment Agreed/Ordered:
$40,000