Disciplined List

Kelly, Ralph Bartholemew

  • Date of Order or Settlement:

    2008-10-21

Sanction:

  • Permanent trading ban with conditions
  • Permanent director/officer ban
  • Permanent ban from becoming or acting as a registrant, investment fund manager or promoter
  • Permanent ban from acting in a management or consultative capacity in connection with activities in the securities market
  • Permanent investor relations ban

Supporting Documents:

Violation:

  • Fraud
  • Illegal distribution
  • Unregistered trading
  • Misrepresentations

Ruling Body:

BCSC

Payment Agreed/Ordered:

$200,00 plus not less than $242,153.60 in disgorgement