Disciplined List
Bromley, Ralph
-
Date of Order or Settlement:
2007-01-29 -
Banned Until:
2012-01-29
Sanction:
- 5-year trading ban
- 5-year director/officer ban with conditions
- 5-year investor relations ban
- An order to comply fully with the Securities Act and Securities Rules
Supporting Documents:
Violation:
- Illegal distribution
- Unregistered activity
Ruling Body:
BCSCPayment Agreed/Ordered:
$9,000