CALGARY,
AB, May 10, 2024 /CNW/ - A hearing has been
scheduled before a hearing panel of the Canadian Investment
Regulatory Organization (CIRO) pursuant to the Investment
Dealer and Partially Consolidated Rules in the matter of William
Robert Hall.
The hearing is open to the public unless the hearing panel
orders otherwise. The decision of the hearing panel will be made
available at www.ciro.ca.
Hearing Date: June 19, 2024 at
10:00 am (Moutain Time)
Location: Calgary, Alberta (by
videoconference)
Members of the public who would like to obtain further
particulars should fill out this questionnaire.
The hearing concerns allegations that William Robert Hall failed to use due diligence
to learn and remain informed of the essential facts relative to two
clients and failed to ensure that his recommendations were suitable
for these clients.
The Notice of Hearing and Statement of Allegations, which set
out the allegations, are available at:
Hall, William Robert – Notice of
Hearing and Statement of Allegations
At all material times, William Robert
Hall worked at Canaccord Genuity Corporation, at a branch
office located in Calgary,
Alberta. He is not currently registered in the securities
industry in any capacity.
All information about disciplinary proceedings relating to
current and former member firms and individual registrants under
the Investment Dealer and Partially Consolidated Rules (for
investment dealers), the Mutual Fund Dealer Rules (for mutual fund
dealers) and the Universal Market Integrity Rules (UMIR) is
available on CIRO's website.
Background information regarding the qualifications and
disciplinary history, if any, of advisors currently employed by
CIRO-regulated investment firms is available free of charge through
the AdvisorReport service. Information on how to make
dealer, advisor or marketplace-related complaints is available by
calling 1-877-442-4322.
CIRO investigates possible misconduct by its member firms and
individual registrants. It can bring disciplinary proceedings which
may result in sanctions including fines, suspensions, permanent
bars, expulsion from membership, or termination of rights and
privileges for individuals and firms.
The Canadian Investment Regulatory Organization (CIRO) is the
national self-regulatory organization that oversees all investment
dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces. CIRO is
committed to the protection of investors, providing efficient and
consistent regulation, and building Canadians' trust in financial
regulation and the people managing their investments. For more
information, visit www.ciro.ca.
SOURCE Canadian Investment Regulatory Organization (CIRO)