An MFDA hearing panel has issued reasons and decisions regarding Portfolio Strategies Corporation.
A settlement hearing in the matter of Peiqing (Anna) He was held January 22, 2013 in Toronto, Ontario before a Hearing Panel of the MFDA’s Central Regional Council. The hearing panel accepted the settlement agreement between MFDA staff and He, and approved certain terms of settlement, namely the imposition of sanctions and costs on her. […]
MFDA issued a fine in the amount of $50,000 and costs in the amount of $5,000.
A settlement hearing in the matter of Keith Kee-Peng Tan was held recently in Toronto.
Toronto MFDA rep was was suspended and fined for outside sales.
A settlement hearing in the matter of Portfolio Strategies Corporation was held on January 18, 2013.
A settlement hearing in the matter of Hugh Blair Smilestone was recently held today before a panel of the MFDA's Atlantic Regional Council.
A hearing in the matter of Imtiaz Mahamood Mohamed was held today before an MFDA panel.
A disciplinary hearing in the matter of Russell Brower-Berkhoven was held today in Alberta before a three-person hearing panel of the MFDA’s Prairie Regional Council. Brown was registered in British Columbia as a mutual fund salesperson with Sterling Mutuals Inc. from November 2006 to December 2006, and from November 2007 to November 2009. He was […]
Two Ontario fund reps fined and barred from trading for client abuse.