DISCIPLINED PERSONS LIST
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| Name | Hall, Martin Raymond |
|---|---|
| Date of Order or Settlement | November 25, 2005 |
| Banned Until | November 25, 2008 |
| Sanction |
3-year trading ban with conditions Hall’s 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 |
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