Disciplined List
Elliott, James Richard
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Date of Order or Settlement:
2008-05-28 -
Banned Until:
2013-05-28
Sanction:
- 5-year ban from acting in a managing or consultative capacity in connection with activities in the securities market with conditions
- 5-year investor relations ban with conditions
- An Order to comply fully with the Securities Act, the Securities Rules and applicable regulations
5-year ban from purchasing and trading in securities or exchange contracts with conditions
5-year director/officer ban with conditions
Supporting Documents:
Violation:
- Illegal distribution
- Acting contrary to the public interest