Hofman, Fred Siebolt Sr.

Date of Order or Settlement:
1989-03-16
Banned Until:
Sanction:

    5-year trading ban with conditions

    Permanently banned from having trading authority over the accounts of clients

    Permanently banned from recommending the securities of specific exchange issuers to clients

Supporting Documents:
Violation:
    Acting as a adviser and portfolio manager without registration
Ruling Body:
BCSC
Sanction Payment Status:
$50,000