In the matter of Luigi Ciardullo A hearing panel of the Central Regional Council of the MFDA has issued its reasons for decision in connection with the settlement hearing held in Toronto, Ontario on November 26, 2010 in the matter of Luigi Francesco Ciardullo. Read a copy of the hearing panel’s reasons for decision. In […]
A settlement hearing in the matter of Pan Chen was held today in Vancouver, British Columbia before a hearing panel of the MFDA’s Pacific Regional Council. The Hearing Panel accepted the settlement agreement between MFDA staff and the respondent, as a consequence of which the respondent: has paid a fine in the amount of $18,000; […]
A settlement hearing in the matter of Mary Lorelei Lambros was held on March 7, 2011 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 paid a $40,000 fine; […]
A hearing panel of the Central Regional Council of the MFDA has issued its Reasons for Decision in connection with the disciplinary hearing held in Toronto, Ontario on January 21, 2011 in the matter of Christopher Philip Jones. A copy of the hearing panel’s Reasons for Decision is available on the MFDA website at www.mfda.ca.
A settlement hearing in the matter of Connor Financial Corporation (“CFC”) and Joel Gerrett (Gerry) Connor (“Connor”) (collectively the “Respondents”) was held on February 25, 2011 in Vancouver, British Columbia before a hearing panel of the MFDA’s Pacific Regional Council. The hearing panel accepted the settlement agreement between the Respondents and MFDA staff, as a […]
A hearing panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada (“MFDA”) has issued its reasons for decision in connection with the Settlement Hearing held in Vancouver, British Columbia on December 16, 2010 in the matter Zenon Smiechowski.A copy of the reasons for decision is available on the MFDA website […]
A hearing panel of the Prairie Regional Council of the MFDA has issued its reasons for decision in connection with the settlement hearing held in Calgary, Alberta on February 1, 2011 in the matter Victor Raymond Fook Seng Lee. A copy of the hearing panel’s reasons for decision is available on the MFDA website at […]
A hearing panel of the Central Regional Council of the MFDA has issued its reasons for decision in connection with the settlement hearing held in Toronto, Ontario on January 24, 2011 in the matter of Calogero (Charlie) Arcuri. A copy of the hearing panel’s reasons for decision is available on the MFDA website at www.mfda.ca.
A hearing panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada has issued its reasons for decision in connection with the Settlement Hearing held in Regina, Saskatchewan on November 25, 2010 in the matter of Partners In Planning Financial Services Ltd. A copy of the reasons for decision is available […]
A disciplinary hearing in the matter of Tadeusz (“Ted”) Bytnar (the “Respondent”) concluded yesterday in Calgary, Alberta before a three-person Hearing Panel of the MFDA’s Prairie Regional Council. 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: In […]