Disciplined List
Browne, Martin
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Date of Order or Settlement:
2006-05-12
Sanction:
- An Order to fully comply with the Securities Act, Rules and regulations
- An undertaking to not apply for registration under the Securities Act from the later of three years from the date of the settlement or the date he completes the Conduct and Practices Handbook Course
- An undertaking to consent to three years of strict supervision from the date his registration begins
Supporting Documents:
Violation:
- Failure to act as a gatekeeper
- Failure to comply with "Know Your Client" rules
- Acting contrary to the public interest
- Failure to observe anti-money laundering standards
Ruling Body:
BCSCPayment Agreed/Ordered:
$50,000