FINRA

RESPONDENT HALL FAILED TO RESPOND TO FINRA REQUEST FOR INFORMATION.

LETTER

Bar (Permanent)

All Capacities

Indefinite

9/17/2013

PURSUANT TO FINRA RULE 9552(H) AND IN ACCORDANCE WITH FINRA'S NOTICE OF SUSPENSION AND SUSPENSION FROM ASSOCIATION LETTERS DATED JUNE 14, 2013 AND JULY 8, 2013, RESPECTIVELY, ON SEPTEMBER 17, 2013, HALL IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY. RESPONDENT FAILED TO REQUEST TERMINATION OF HIS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION; THEREFORE, HE IS AUTOMATICALLY BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.

FLORIDA

NOTICE OF DENIAL OF REGISTRATION PURSUANT TO SECTION 517.161(1)(B) AND (M) AND 517.161(4), FLORIDA STATUTES. APPLICANT MADE MATERIAL FALSE STATEMENT IN THE APPLICATION FOR REGSTRATION, HAS BEEN THE SUBJECT OF ANY DECISION, FINDING, INJUNCTION, SUSPENSION, PROHOBITION, REVOCATION, DENIAL,JUDGEMENT OR ADMINISTRATIVE ORDER BY ANY STATE OR FEDERAL AGENCY, AND ANY OFFICER, DIRECTOR HAS COMMITTED ANY ACT OF OMISSION ON APPLICATION. APPLICANT HAS 21 DAYS TO RESPOND.

Stipulation and Consent

Cease and Desist/Injunction

HALL AGREES TO WITHDRAW THE APPLICATION FOR STONEHALL WEALTH MANAGEMENT, INC. AS AN INVESTMENT ADVISER IN FLORIDA, AGREES TO WITHDRAW HIS APPLICATION AS AN RA IN FLORIDA WITH STONEHALL WEALTH MANAGEMENT, INC., AND AGREES TO REGISTRATION IN FLORIDA WITH BROOKSTONE SECURITIES, INC. PURSUANT TO A TWO (2) YEAR REGISTRATION AGREEMENT.

N/A

KANSAS SECURITIES COMMISSIONER

JAMES HALL PURCHASED THE BROKERAGE BUSINESSES OF TWO RETIRING KANSAS BROKERS. THE CUSTOMERS OF THE RETIRING BROKERS ALLEGE HALL SIGNED THEIR NAMES TO ACCOUNT DOCUMENTS, WITHOUT THEIR AUTHORIZATION. CUSTOMERS ALSO ALLEGE HALL FAILED TO RESPOND WHEN THEY CALLED WITH COMPLAINTS ABOUT HIS TRADES IN THEIR ACCOUNTS.

Stipulation and Consent

Monetary/Fine

$7,500.00

Censure

HALL SIGNED A STIPULATION FOR CONSENT ORDER NEITHER ADMITTING NOR DENYING THAT HE SIGNED CUSTOMERS' SIGNATURES TO ACCOUNT DOCUMENTS WITHOUT THEIR KNOWLEDGE AND ENGAGED IN DISHONEST OR UNETHICAL PRACTICES. HALL WAS CENSURED AND ORDERED TO PAY A FINE OF $7,500 - HALF DUE AT THE TIME THE ORDER IS FILED AND THE OTHER HALF DUE AT THE TIME HALL BEGINS THE APPLICATION PROCESS TO REGISTER IN KANSAS AS A BROKER-DEALER AGENT, INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE.