Mutual Fund Dealers Association

MFDA Hearing Panel issues Reasons for Decision in the matter of William Allan

Thursday, March 26, 2020 - 9:24pm

TORONTO, March 26, 2020 /CNW/ -A Hearing Panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 26, 2020 ("Reasons for Decision") in connection with a settlement hearing held in Vancouver, British Columbiaon November 4, 2019 in the matter of William Alexander Hector Allan ("Respondent").

Key Points: 
  • TORONTO, March 26, 2020 /CNW/ -A Hearing Panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 26, 2020 ("Reasons for Decision") in connection with a settlement hearing held in Vancouver, British Columbiaon November 4, 2019 in the matter of William Alexander Hector Allan ("Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent carried on business in the Nanaimo, British Columbia area.

MFDA Hearing Panel approves settlement agreement with Kenneth Foster

Thursday, March 26, 2020 - 9:13pm

TORONTO, March 26, 2020 /CNW/ -A settlement hearing in the matter of Kenneth Daniel Foster ("Respondent") was held on March 26, 2020 in St. John's, Newfoundland before a three-member Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, March 26, 2020 /CNW/ -A settlement hearing in the matter of Kenneth Daniel Foster ("Respondent") was held on March 26, 2020 in St. John's, Newfoundland before a three-member Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent conducted business in the St. John's, Newfoundland and Labrador area.
  • For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website.

MFDA Hearing Panel approves settlement agreement with Inocencia Minierva

Tuesday, March 24, 2020 - 9:53pm

TORONTO, March 24, 2020 /CNW/ - A settlement hearing in the matter of Inocencia Bagongon Minierva ("Respondent") was held on March 24, 2020 in Vancouver, British Columbia before a three-member Hearing Panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, March 24, 2020 /CNW/ - A settlement hearing in the matter of Inocencia Bagongon Minierva ("Respondent") was held on March 24, 2020 in Vancouver, British Columbia before a three-member Hearing Panel of the Pacific Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent carried on business in the Maple Ridge, British Columbia area.
  • For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website.

MFDA Hearing Panel approves settlement agreement with Jeffrey Williams

Tuesday, March 24, 2020 - 9:45pm

TORONTO, March 24, 2020 /CNW/ - A settlement hearing in the matter of Jeffrey Thomas Williams ("Respondent") was held on March 23, 2020 in Toronto, Ontario before a three-member Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, March 24, 2020 /CNW/ - A settlement hearing in the matter of Jeffrey Thomas Williams ("Respondent") was held on March 23, 2020 in Toronto, Ontario before a three-member Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent conducted business in the Milton and Whitby, Ontario areas.
  • For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website.

MFDA Hearing Panel approves settlement agreement with Jared Saffran

Monday, March 23, 2020 - 8:54pm

TORONTO, March 23, 2020 /CNW/ - A settlement hearing in the matter of Jared Keith Saffran ("Respondent") was held on March 20, 2020 in Calgary, Alberta before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, March 23, 2020 /CNW/ - A settlement hearing in the matter of Jared Keith Saffran ("Respondent") was held on March 20, 2020 in Calgary, Alberta before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .
  • During the period described in the Settlement Agreement, the Respondent conducted business in the Airdrie, Alberta area.
  • For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website.

MFDA Hearing Panel issues Reasons for Decision in the matter of James Phillips

Tuesday, March 17, 2020 - 9:17pm

TORONTO, March 17, 2020 /CNW/ -A Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 16, 2020 ("Reasons for Decision") in connection with a settlement hearing held in Halifax, Nova Scotia on July 24, 2019 in the matter of James Andrew Phillips ("Respondent").

Key Points: 
  • TORONTO, March 17, 2020 /CNW/ -A Hearing Panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 16, 2020 ("Reasons for Decision") in connection with a settlement hearing held in Halifax, Nova Scotia on July 24, 2019 in the matter of James Andrew Phillips ("Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business from a branch office located in Windsor, Nova Scotia.

MFDA Hearing Panel issues Reasons for Decision in the matter of Catharina Jutting

Tuesday, March 17, 2020 - 8:58pm

TORONTO, March 17, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 16, 2020 ("Reasons for Decision") in connection with a settlementhearing held in Toronto, Ontario on January 31, 2020 in the matter of Catharina Hendrika Henrietta Van Benthem Jutting (also known as Carien Jutting) ("Respondent").

Key Points: 
  • TORONTO, March 17, 2020 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 16, 2020 ("Reasons for Decision") in connection with a settlementhearing held in Toronto, Ontario on January 31, 2020 in the matter of Catharina Hendrika Henrietta Van Benthem Jutting (also known as Carien Jutting) ("Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business in the Stratford, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Madrie Ann Secord

Tuesday, March 10, 2020 - 8:07pm

TORONTO, March 10, 2020 /CNW/ -A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 9, 2020 ("Reasons for Decision") in connection with a disciplinary hearing held in Toronto, Ontario on August 7, 2019 in the matter of Madrie Ann Secord ("Respondent").

Key Points: 
  • TORONTO, March 10, 2020 /CNW/ -A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated March 9, 2020 ("Reasons for Decision") in connection with a disciplinary hearing held in Toronto, Ontario on August 7, 2019 in the matter of Madrie Ann Secord ("Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business in Huntsville, Ontario.

MFDA Hearing Panel approves settlement agreement with Lawrence Geisel

Tuesday, March 3, 2020 - 8:58pm

TORONTO, March 3, 2020 /CNW/ - A settlement hearing in the matter of Lawrence Edward Geisel ("Respondent") was held today in Saskatoon, Saskatchewan before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, March 3, 2020 /CNW/ - A settlement hearing in the matter of Lawrence Edward Geisel ("Respondent") was held today in Saskatoon, Saskatchewan before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • The Hearing Panel approved the settlement agreement dated December 17, 2019 ("Settlement Agreement") between Staff of the MFDA and the Respondent, as a consequence of which the following sanctions were imposed on the Respondent:
    a fine in the amount of $11,500;
    costs in the amount of $2,500; and
    shall in the future comply with MFDA Rule 2.1.1.
  • In the Settlement Agreement, the Respondent admitted that between September 2017 and May2018, he obtained, possessed, and used to process transactions, 44 pre-signed account forms in respect of 14 clients, contrary to MFDA Rule 2.1.1.
  • A copy of the Settlement Agreement is available on the MFDA website at www.mfda.ca .

MFDA announces disciplinary proceeding in respect of Brian Wilkinson

Tuesday, March 3, 2020 - 8:52pm

TORONTO, March 3, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced disciplinary proceedings in respect of Brian Walter Wilkinson ("Respondent").

Key Points: 
  • TORONTO, March 3, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced disciplinary proceedings in respect of Brian Walter Wilkinson ("Respondent").
  • The appearance will be open to the public, except as may be required for the protection of confidential matters.
  • A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca .
  • For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website.