A hearing panel of the MFDA’s Central Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Toronto, Ontario on March 23, 2011 in the matter of Chris. M. McAuley. Read a copy of the Reasons for Decision.
The MFDA commenced a disciplinary proceeding in respect of Mark Lindsay by notice of hearing dated February 23, 2011. After hearing submissions from staff of the MFDA, the hearing panel found that the following allegations in the notice of hearing had been established: Allegation #1: Between approximately October 2007 and December 2008, the respondent failed […]
A settlement hearing in the matter of Laurier Capital Planning Inc. was held in Calgary, Alberta before a hearing panel of the MFDA’s Prairie Regional Council. After hearing submissions from counsel, the hearing panel accepted the settlement agreement between MFDA staff and the respondent, as a consequence of which the respondent has paid a fine […]
A settlement hearing in the matter of Gillian Ann Gibson-Sargeant was held today 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 the respondent, as a consequence of which the respondent has been permanently prohibited from conducting securities related business […]
A disciplinary hearing in the matter of Wijaysri Sivasubramanian concluded yesterday in Toronto, Ontario before a three-person hearing panel of the MFDA’s Central Regional Council. After hearing submissions from staff of the MFDA, the hearing panel found that the following allegations against the respondent had been established: Allegation #1: Between 2002 and 2009, the respondent […]
A hearing panel of the Prairie Regional Council of the MFDA has issued its reasons for decision in connection with the disciplinary hearing held in Calgary, Alberta on February 9 and 10, 2011 in the matter of Tadeusz (“Ted”) Bytnar. A copy of the hearing panel’s Reasons for Decision is available here, and on the […]
A hearing panel of the MFDA’s Central Regional Council has issued its decision and reasons in connection with the disciplinary hearing held in Toronto, Ontario on March 21, 2011 in the matter Michael Anthony Ryan. A copy of the Decision and Reasons is available here.
A disciplinary hearing in the matter of Patricia Marva Cuthbert was held yesterday in Vancouver, British Columbia before a three-person hearing panel of the MFDA’s Pacific Regional Council. The hearing panel found that all of the allegations set out in the Notice of Hearing dated November 23, 2010 against the respondent had been established, but […]
A hearing panel of the MFDA’s Central Regional Council has issued Reasons for Decision in connection with the disciplinary hearing held in Toronto, Ontario on February 8, 2011 in the matter of Stephen Arnold Smith. Click here to read a copy of the hearing panel’s Reasons for Decision.
Canada’s regulators have teamed up to launch an expanded list of advisors who have faced disciplinary actions. The CSA has hosted a Disciplined Persons List on its website since 2009, tracking discipline meted out by provincial securities regulators. The list has now been expanded to include advisors disciplined by IIROC or the MFDA, dating back […]