DISCIPLINED PERSONS LIST

Name Hall, Martin Raymond
Date of Order or Settlement November 25, 2005
Banned Until November 25, 2008
Sanction

3-year trading ban with conditions

Hallís registration is subject to conditions for at least 12 months (see Settlement/Order)

An Order to comply fully with the Securities Act, the Securities Rules, and any applicable regulations, policies and guidelines

Violation

Failure to comply with "Know your client and suitability" rules

Failure to deal fairly, honestly and in good faith with clients

Acting contrary to the public interest

Ruling Body BCSC
Supporting Documents

News Release

Settlement/Order

Disclaimer:
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.
Please forward any questions or reports of errors and omissions to inquiries@bcsc.bc.ca.