Disciplined List
Braun, Jerry
-
Date of Order or Settlement:
2019-02-19 -
Banned Until:
2034-02-19
Sanction:
- 15-year ban from purchasing and trading in securities (with conditions)
- 15-year ban from relying on any exemptions set out in the Securities Act, in the regulations or a decision
- 15-year director/officer ban (with conditions)
- 15-year ban from becoming or acting as a registrant or promoter
- 15-year ban from acting in a management or consultative capacity in connection with activities in the securities market
- 15-year investor relations ban
Supporting Documents:
Violation:
-
Fraud
Ruling Body:
BCSCPayment Agreed/Ordered:
$156,919 in disgorgement and an administrative penalty of $200,000