Hearing Notice - In the matter of William Robert Hall - Hearing Adjournment

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)