Disciplined List
Hall, Martin Raymond
-
Date of Order or Settlement:
2005-11-25 -
Banned Until:
2008-11-25
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
Supporting Documents:
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