A disciplinary hearing in the matter of Gregory Dickson was held Friday in Toronto, Ontario before a three-person hearing panel of the MFDA’s Central Regional Council

An agreed statement of facts was filed prior to the hearing in which the respondent admitted to all the facts and allegations set out in the notice of hearing dated April 20, 2011. The hearing panel made the following orders at the conclusion of the hearing and advised that it would issue written reasons for its decision in due course:

(a) a two (2) year prohibition from conducting securities related business in any capacity over which the MFDA has jurisdiction;
(b) the respondent shall write or re-write and pass an appropriate industry course acceptable to MFDA staff, prior to being registered in the mutual fund industry;
(c) a fine in the amount of $15,000; and
(d) costs in the amount of $2,500.

Click here to read a copy of the notice of hearing.