Enforcement

Disciplined List

Hofman, Fred Siebolt Sr.

Date of Order or Settlement:

1989-03-16

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

Supporting Documents:

Settlement/Order

Violation:

Acting as a adviser and portfolio manager without registration

Ruling Body:

BCSC

Payment Agreed/Ordered:

$50,000