DISCIPLINED PERSONS LIST
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| Name | Hofman, Fred Siebolt Sr. |
|---|---|
| Date of Order or Settlement | March 16, 1989 |
| 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 |
| Payment Agreed / Ordered | $50,000 |
| Violation | Acting as a adviser and portfolio manager without registration |
| Ruling Body | BCSC |
| Supporting Documents |
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