CIRO to Hold a Settlement Hearing for Martin David Hall
Fredericton (New Brunswick), February 8, 2024 – A hearing has been scheduled under the Mutual Fund Dealer Rules before a hearing panel of the Canadian Investment Regulatory Organization (CIRO) to consider whether the panel should accept a settlement agreement entered into between Enforcement Staff andMartin David Hall.
The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
If the agreement is accepted, the panel’s decision and the settlement agreement will be made available at www.ciro.ca.
Settlement Hearing Date: March 6, 2024 at 11:00 am (Atlantic Time)
Location: Fredericton, New Brunswick, via videoconference
Members of the public who would like to obtain further particulars should fill out this questionnaire.
The Notice of Application announcing the settlement hearing is available at:
During the period described in the Notice of Hearing, Martin David Hall conducted business in the Fredericton, New Brunswick area.
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.
Other Notices associated with this Enforcement Proceeding:
CIRO schedules date for Hearing on the Merits in the matter of Martin David HallType:Hearing Notice
CIRO amends start time of first appearance in the matter of Martin HallType:Hearing Notice
CIRO reschedules first appearance in the matter of Martin HallType:Hearing Notice
CIRO announces disciplinary proceeding in respect of Martin HallType:Hearing Notice