Notices of Hearing & Temporary Orders
Global Securities Corporation, et al. - [Notice of Hearing]
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BCSECCOM #:
2004 BCSECCOM 663
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Document Type:
Notice of Hearing
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Published Date:
2004-11-24
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Effective Date:
2004-11-23
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Details:
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2004 BCSECCOM 663
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2004 BCSECCOM 663
Hearing Notice
Global Securities Corporation, Robert Semple, Robert Tassone
and Bruce McConnachie
and TSX Venture Exchange (formerly the Canadian Venture Exchange)
and Bruce McConnachie
and TSX Venture Exchange (formerly the Canadian Venture Exchange)
Section 28 of the Securities Act, RSBC 1996, c. 418
On March 13, 2003, a TSX Venture Exchange disciplinary panel pronounced its decision against Global Securities Corporation, Robert Semple, Robert Tassone and Bruce McConnachie. In that decision, the disciplinary panel held that the member firm, Global Securities Corporation, was not liable for the failure of the branch manager to diligently supervise the trading in an options account and had not acted in contravention of VSE Rule F.1.01(b) and VSE By-law 5.01(b).
The TSX Venture Exchange, Bruce McConnachie and the Executive Director applied for a hearing and review of the decision.
A preliminary hearing in this matter will be held on January 20, 2005, at 10 am at the British Columbia Securities Commission, 12th Floor, 701 West Georgia Street, Vancouver.
November 23, 2004
Elizabeth J. O’Hea
Secretary to the Commission