Browne, Martin

Date of Order or Settlement:
Banned Until:

    An Order to fully comply with the Securities Act, Rules and regulations

    An undertaking to not apply for registration under the Securities Act from the later of three years from the date of the settlement or the date he completes the Conduct and Practices Handbook Course

    An undertaking to consent to three years of strict supervision from the date his registration begins

Supporting Documents:

    Failure to act as a gatekeeper

    Failure to comply with "Know Your Client" rules

    Acting contrary to the public interest

    Failure to observe anti-money laundering standards

Ruling Body:
Sanction Payment Status: