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Enforcement

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:

BCSC

Payment Agreed/Ordered:

$500,000 (for restitution to the victims via the Civil Forfeiture Office)