A settlement hearing in the matter of Michel Joseph Landry was held today in Toronto, Ontario before a hearing panel of the MFDA’s Central Regional Council. Landry was previously employed as an alternate compliance officer, shareholder and dealing representative with Independent Accountants Investment Group. He voluntarily resigned in January 2012. Read: Compliance failure costs IAIG […]
A hearing panel of the Central Regional Council of the MFDA has issued Reasons for Decision, in connection with the disciplinary on June 1, 2012 in the matter of Jeffrey Murray Willis. Willis was registered in Ontario as a mutual fund salesperson with IPC Investment Corporation from August 6, 1999 to May 31, 2009, and […]
A disciplinary hearing in the matter of Punch Bun Chiu Lui, a mutual fund salesperson with Investia Financial Services, was held yesterday before a hearing panel of the MFDA’s Central Regional Council. The panel found Chiu Lui guilty of allegations set out in a notice of hearing dated April 12, 2012. They were: Allegation #1: […]
A disciplinary hearing in the matter of Jose Luis Bautista, a mutual fund salesperson with MGI Financial Inc., was held yesterday before a three-person hearing panel of the MFDA’s Central Regional Council. It found Bautista guilty of the allegations set out in a notice of hearing dated January 23, 2012. They were: Allegation #1: Between […]
A settlement hearing in the matter of Douglas A. Lawson was held today in Toronto before a hearing panel of the MFDA’s Central Regional Council. In the settlement agreement, Lawson admitted he approved, recommended and allowed the sale of Promittere S&P 500 (Promittere) shares, a related company of Wealth Advisory Services, to over 40 clients. […]
Two advisors weigh in on whether the mutual fund watchdog still has fangs
A disciplinary hearing in the matter of Vaughan Spencer was held today in Toronto, before a three-person panel of the MFDA’s Central Regional Council. Spencer failed to comply with the MFDA during an investigation of one of his colleagues at IPC Investment Corporation. On March 1, 2011, Spencer failed to attend an interview requested by […]
A settlement hearing in the matter of Scott Devries was held yesterday in Toronto before a hearing panel of the MFDA's Central Regional Council.
A settlement hearing in the matter of Stanley Wayne Parke was held in Calgary, Alberta before a hearing panel of the MFDA's Prairie Regional Council.
A disciplinary hearing in the matter of Bill Hsueh was held Thursday in Toronto before a three-person hearing panel of the MFDA's Central Regional Council.