DISCIPLINED PERSONS LIST

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

Settlement/Order New window

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This information is presented as a plain language summary of information found in publicly available documents. The supporting documents should be reviewed for the full conditions and context of all Commission decisions, orders and sanctions.
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