Mutual Fund Dealers Association

Enforcement Notice - Hearing - New SRO to Hold a Settlement Hearing for Blaine Patrick Arnold

Retrieved on: 
Wednesday, May 24, 2023
Agreement, The central science, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Branch manager, Settlement, Collection, Investment, Supervisor, Hearing, Indian Residential Schools Settlement Agreement, Setter Capital Inc, Enforcement, Respondent, Security (finance), Property management, IIROC, Saskatoon

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • Hearing Date: The hearing will be held by a way of videoconference on June 6, 2023, at 11:00 a.m. CT.
  • The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Arnold's conduct in March 2021.

Enforcement Notice - Hearing - New SRO to Hold a Settlement Hearing for Blaine Patrick Arnold

Retrieved on: 
Wednesday, May 24, 2023
Agreement, The central science, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Branch manager, Settlement, Collection, Investment, Supervisor, Hearing, Indian Residential Schools Settlement Agreement, Setter Capital Inc, Enforcement, Respondent, Security (finance), Property management, IIROC, Saskatoon

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • Hearing Date: The hearing will be held by a way of videoconference on June 6, 2023, at 11:00 a.m. CT.
  • The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Arnold's conduct in March 2021.

Enforcement Notice - Hearing - New SRO to Hold Disciplinary Hearing for Robert Weston Crocker

Retrieved on: 
Thursday, May 18, 2023
The central science, Investment Industry Regulatory Organization of Canada, Organization, PRO, EST, Mutual Fund Dealers Association, Client, Investment, Hearing, Enforcement, Respondent, Security (finance), Financial adviser, Property management, IIROC

TORONTO, May 18, 2023 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) for the purpose of setting a date for the disciplinary hearing in the matter of Robert Weston Crocker.

Key Points: 
  • TORONTO, May 18, 2023 /CNW/ - An initial appearance has been scheduled before a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) for the purpose of setting a date for the disciplinary hearing in the matter of Robert Weston Crocker.
  • The initial appearance is open to the public, unless the hearing panel orders otherwise.
  • The date for the disciplinary hearing will be made available at www.iiroc.ca .
  • The Notice of Hearing and Statement of Allegations which sets out the allegations is available at:
    The Investment Dealer Division of New SRO formally initiated the investigation into Mr. Crocker's conduct in June 2021.

Enforcement Notice - New SRO to Hold a Settlement Hearing for Robert Barber

Retrieved on: 
Thursday, May 18, 2023
The central science, Indian Residential Schools Settlement Agreement, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Settlement, Investment, Hearing, Enforcement, Security (finance), Property management, IIROC

The Settlement Agreement relates to allegations that Barber failed to fulfill his gatekeeper responsibilities.

Key Points: 
  • The Settlement Agreement relates to allegations that Barber failed to fulfill his gatekeeper responsibilities.
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • The Investment Dealer Division of New SRO formally initiated the investigation into Barber's conduct in April 2019.

Enforcement Notice - Decision - New SRO Sanctions Martin Danielak

Retrieved on: 
Tuesday, May 16, 2023
Communication, The central science, Coup d'État: A Practical Handbook, Indian Residential Schools Settlement Agreement, Investment Industry Regulatory Organization of Canada, Organization, Vexatious litigation, Mutual Fund Dealers Association, Conduct, Sale, Settlement, Corporation, Investment, Enforcement, Respondent, Security (finance), Financial adviser, Property management, IIROC

VANCOUVER, BC, May 16, 2023 /CNW/ - On May 10, 2023 a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a Settlement Agreement, with sanctions, between Enforcement Staff and Martin Danielak.

Key Points: 
  • VANCOUVER, BC, May 16, 2023 /CNW/ - On May 10, 2023 a hearing panel of the Investment Dealer Division of the New Self-Regulatory Organization of Canada (New SRO) accepted a Settlement Agreement, with sanctions, between Enforcement Staff and Martin Danielak.
  • Mr. Danielak also agreed to pay costs in the amount of $2,500.
  • This case was resolved by Early Resolution Offer, which granted a 30% reduction on the fine Enforcement Staff otherwise would have sought.
  • The Settlement Agreement is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Danielak's conduct in June 2020.

New SRO Hearing Panel issues Decision and Reasons in the matter of Hope Thomas

Retrieved on: 
Friday, May 12, 2023
Merritt, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Investment, Hearing, Respondent, Financial adviser

TORONTO, May 12, 2023 /CNW/ - A Hearing Panel of the New SRO's Pacific District Hearing Committee ("New SRO"), has issued its Decision and Reasons dated April 25, 2023 ("Decision and Reasons"), in connection with a disciplinary hearing held electronically by videoconference in Vancouver, British Columbia on January 31, 2023, in the matter of Hope Moira Donna Thomas (the "Respondent").

Key Points: 
  • TORONTO, May 12, 2023 /CNW/ - A Hearing Panel of the New SRO's Pacific District Hearing Committee ("New SRO"), has issued its Decision and Reasons dated April 25, 2023 ("Decision and Reasons"), in connection with a disciplinary hearing held electronically by videoconference in Vancouver, British Columbia on January 31, 2023, in the matter of Hope Moira Donna Thomas (the "Respondent").
  • In its Decision and Reasons, the Hearing Panel outlined its findings of misconduct made against the Respondent.
  • A copy of the Decision and Reasons is available on the MFDA website at www.mfda.ca .
  • During the period described in the Decision and Reasons, the Respondent carried on business in the Merritt, British Columbia area.

Enforcement Notice - Decision - 23-0068 - New SRO Sanctions Patrick Poulin

Retrieved on: 
Thursday, May 11, 2023
The central science, Coup d'État: A Practical Handbook, IIROC, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Conduct, Investment, Hearing, Enforcement, Respondent, Property management, Financial adviser, Security (finance)

Mr. Poulin will also pay costs in the amount of $10,000.

Key Points: 
  • Mr. Poulin will also pay costs in the amount of $10,000.
  • The Investment Dealer Division of New SRO formally initiated the investigation into Mr. Poulin's conduct in May 2022.
  • All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

Enforcement Notice - Hearing - 23-0067 - New SRO to Hold a Settlement Hearing for Craig Bishop

Retrieved on: 
Thursday, May 11, 2023
Agreement, The central science, Failure, Investment Industry Regulatory Organization of Canada, Organization, AB, Mutual Fund Dealers Association, Settlement, Investment, Hearing, Indian Residential Schools Settlement Agreement, Setter Capital Inc, Enforcement, Security (finance), Property management, IIROC

The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.

Key Points: 
  • The hearing is not open to the public, but will become open in the event that the panel accepts the agreement.
  • If the agreement is accepted, the panel's decision and the Settlement Agreement will be made available at www.iiroc.ca .
  • Hearing Date: The hearing will be held by way of videoconference on June 21, 2023, at 9:00 a.m. MT
    The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division of New SRO formally initiated the investigation into Mr. Bishop's conduct in November 2021.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

Investor Alert: IB Platform

Retrieved on: 
Monday, May 8, 2023
Investment Industry Regulatory Organization of Canada, CSA, IIROC, Organization, Mutual Fund Dealers Association, Canadian Securities Administrators, Canadian Investor Protection Fund, Social media, Cryptocurrency, Financial adviser

TORONTO, May 8, 2023 /CNW/ - New Self-Regulatory Organization of Canada (New SRO) is warning Canadian investors not to be fooled by IB Platform a.k.a.

Key Points: 
  • TORONTO, May 8, 2023 /CNW/ - New Self-Regulatory Organization of Canada (New SRO) is warning Canadian investors not to be fooled by IB Platform a.k.a.
  • In social media advertisements, IB Platform or IBANK Platform is implying they are regulated by the former Investment Industry Regulatory Organization of Canada (IIROC), the former Mutual Fund Dealers Association of Canada (MFDA), and a member of the Canadian Investor Protection Fund (CIPF), by presenting information to investors with regulatory logos and generating fraudulent versions of IIROC's Advisor Report, which are only issued for individual advisors.
  • Neither IB Platform nor IBANK Platform is a member of New Self-Regulatory Organization of Canada and was never registered with IIROC or the MFDA to sell any investment products.
  • Investors should know that unregulated trading platforms are different from regulated marketplaces and may be missing key investor protections.

New SRO announces disciplinary proceeding in respect of Autumn Farmer

Retrieved on: 
Friday, May 5, 2023
Dealer, Investment Industry Regulatory Organization of Canada, Organization, Notice of Hearing, Mutual Fund Dealers Association, Investment, Respondent, Financial adviser, Hearing, Atlantic Ocean

TORONTO, May 5, 2023 /CNW/ - The New Self-Regulatory Organization of Canada ("New SRO") has commenced disciplinary proceedings in respect of Autumn Kaylee Farmer (the "Respondent").

Key Points: 
  • TORONTO, May 5, 2023 /CNW/ - The New Self-Regulatory Organization of Canada ("New SRO") has commenced disciplinary proceedings in respect of Autumn Kaylee Farmer (the "Respondent").
  • The appearance will be open to the public, except as may be required for the protection of confidential matters.
  • Members of the public who would like to listen to the teleconference should contact [email protected] to obtain particulars.
  • Staff alleges that, at the time of the misconduct, the Respondent contravened MFDA Rule 2.1.1, which is now incorporated into Mutual Fund Dealer Rule 2.1.1 referred to in this proceeding.