CALGARY,
AB, July 2, 2024 /CNW/ - A hearing 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, initially scheduled for
June 19, 2024, is adjourned to
July 24, 2024.
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.
New Hearing Date: July 24,
2024, at 10:00 am (Mountain
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 was an investment advisor at a Canaccord Genuity
Corporation branch located in Calgary,
Alberta. He is currently not registered in the securities
industry in any capacity.
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.
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.
SOURCE Canadian Investment Regulatory Organization (CIRO)