RAYMOND RICHARD MARTIN is currently employed as a Broker and/or Investment Adviser at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. located at #2200-609 GRANVILLE ST., SUITE 2200, VANCOUVER, , V7Y 1H2.
RAYMOND RICHARD MARTIN has worked at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. since December 15, 2000
Disclosure History
RAYMOND RICHARD MARTIN has 1 Disclosure Event(s).
Date: March 01, 1996 Category: Regulatory Initiated By: VANCOUVER STOCK EXCHANGE Allegations: VIOLATION OF RULE C.1.08.1 - TRADING TO BEEXEVUTED ON V.C.T. (VANCOUVER COMPUTERIZED TRADING). NODAMAGES INCURRED. Resolution: Decision SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $5,000.00 Sanction Details: VIOLATION OF RULE C.1.08.1 FINE OF $5000 PLUS$500 INVESTIGATION COSTS. Broker Comment: I ASKED MY COMPLIANCE OFFICER IF I COULD EXECUTETHIS TRADE BEFORE I PROCEEDED TO DO IT. PRIOR TO HIS GIVING MEAPPROVAL, HE ASKED FOR GUIDENCE FROM THE V.S.E. IF THISTRANSACTION COULD BE EXECUTED. THE RESULT WASMISINTERPRETATION OF RULE C.108.1
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