Indian Residential Schools Settlement Agreement

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.

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.

New SRO Sanctions Lee Fraser Harwood

Retrieved on: 
Thursday, April 27, 2023
The central science, Coup d'État: A Practical Handbook, Indian Residential Schools Settlement Agreement, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Conduct, Settlement, Investment, Setter Capital Inc, Enforcement, Respondent, Security (finance), Property management, IIROC

Mr. Harwood also agreed to pay costs in the amount of $5,000.

Key Points: 
  • Mr. Harwood also agreed to pay costs in the amount of $5,000.
  • The Settlement Agreement is available at:
    The Investment Dealer Division of New SRO formally initiated the investigation into Lee Fraser Harwood's conduct in May 2020.
  • New SRO investigates possible misconduct by its member firms and individual registrants.
  • It can bring disciplinary proceedings which may result in sanctions including fines, suspensions, permanent bars, expulsion from membership, or termination of rights and privileges for individuals and firms.

Former Owner of R.I. Ophthalmology Chain Pays $1.1 Million to Settle Charges of FCA Violations alleging Kickbacks and Medicare Fraud in Lawsuit Filed by Herman Law Group

Retrieved on: 
Monday, April 24, 2023
LLP, Anti-Kickback Statute, Vexatious litigation, False Claims Act, Optometry, Government, Patient, Associate, FCA, Indian Residential Schools Settlement Agreement, Fraud, Sammartino, Courage, Health insurance, Pharmaceutical industry, Medicare

PROVIDENCE, R.I., April 24, 2023 /PRNewswire-PRWeb/ -- Dr. Paul S. Koch, a retired ophthalmologist has agreed to pay over $1.16 million dollars to resolve alleged claims that he, through Koch Eye Associates and Claris Vision paid kickback to optometrists who referred cataract surgery patients. The lawsuit was filed by Rhode Island attorneys, Louise A. Herman, Herman Law Group and Andrew Berg, Sammartino & Berg, LLP.

Key Points: 
  • The lawsuit was filed by Rhode Island attorneys, Louise A. Herman, Herman Law Group and Andrew Berg, Sammartino & Berg, LLP.
  • The settlement is neither an admission of liability by Dr. Koch nor a concession by the government that their claims were not well founded.
  • The case remained under seal for several years while the Government investigated, and eventually settled with Dr. Koch.
  • The FCA allows private citizens with knowledge of fraud against a government program to file lawsuits on the government's behalf.

Enforcement Notice - Hearing - 23-0059 - New SRO to Hold a Settlement Hearing for Martin Danielak

Retrieved on: 
Friday, April 21, 2023
Agreement, The central science, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Sale, Settlement, Investment, Hearing, Indian Residential Schools Settlement Agreement, Enforcement, Respondent, Financial adviser, 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 May 10, 2023 at 10:00 a.m. MST
    The Notice of Application announcing the settlement hearing is available at:
    The Investment Dealer Division formally initiated the investigation into Mr. Danielak's conduct in June 2020.
  • Information on how to make investment dealer, advisor or marketplace-related complaints is available by calling 1 877 442-4322.

New SRO Hearing Panel accepts settlement agreement with Sungsoo (Steve) Lee

Retrieved on: 
Tuesday, April 11, 2023
Organization, Investment Industry Regulatory Organization of Canada, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Fine, Settlement, Investment, Hearing, Respondent, Financial adviser, Beauty salon

TORONTO, April 11, 2023 /CNW/ - A settlement hearing in the matter of Sungsoo (Steve) Lee (the "Respondent") was held electronically by videoconference on March 20, 2023 in Vancouver, British Columbia before a three-member Hearing Panel of the Pacific District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").

Key Points: 
  • TORONTO, April 11, 2023 /CNW/ - A settlement hearing in the matter of Sungsoo (Steve) Lee (the "Respondent") was held electronically by videoconference on March 20, 2023 in Vancouver, British Columbia before a three-member Hearing Panel of the Pacific District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").
  • In the Settlement Agreement, the Respondent admitted that commencing October 2020, he failed to cooperate with an investigation into his conduct by MFDA Staff, contrary to section 22.1 of MFDA By-law No.
  • 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 Burnaby, British Columbia area.

New SRO Hearing Panel accepts settlement agreement with Albert Routhier

Retrieved on: 
Tuesday, April 11, 2023
Organization, Investment Industry Regulatory Organization of Canada, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Settlement, Investment, Hearing, Respondent, Financial adviser

TORONTO, April 11, 2023 /CNW/ - A settlement hearing in the matter of Albert Marcel Joseph Routhier (the "Respondent") was held electronically by videoconference on February 21, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").

Key Points: 
  • TORONTO, April 11, 2023 /CNW/ - A settlement hearing in the matter of Albert Marcel Joseph Routhier (the "Respondent") was held electronically by videoconference on February 21, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").
  • 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 Kanata, Ontario area.
  • New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.

Enforcement Notice - Hearing - 23-0047 - New SRO to Hold a Settlement Hearing for Lee Fraser Harwood

Retrieved on: 
Monday, April 10, 2023
Agreement, The central science, Investment Industry Regulatory Organization of Canada, Organization, Mutual Fund Dealers Association, Settlement, Investment, Hearing, NS, Indian Residential Schools Settlement Agreement, Setter Capital Inc, AST, Enforcement, Respondent, Security (finance), Property management, Financial adviser, 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 Friday April 21, 2023, 10:00 am AST.
  • The Investment Dealer Division of New SRO formally initiated the investigation into Lee Fraser Harwood's conduct in May 2020.

New SRO Hearing Panel accepts settlement agreement with GP Wealth Management Corporation

Retrieved on: 
Thursday, March 30, 2023
Investment Industry Regulatory Organization of Canada, Organization, Vexatious litigation, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Investment, Hearing, Policy, AF, Respondent

TORONTO, March 30, 2023 /CNW/ - A settlement hearing in the matter of GP Wealth Management (the "Respondent") was held electronically by videoconference on February 2, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").

Key Points: 
  • TORONTO, March 30, 2023 /CNW/ - A settlement hearing in the matter of GP Wealth Management (the "Respondent") was held electronically by videoconference on February 2, 2023 in Toronto, Ontario before a three-member Hearing Panel of the Ontario District Hearing Committee of the New Self-Regulatory Organization of Canada ("New SRO").
  • The Hearing Panel accepted the settlement agreement dated January 9, 2023 (the "Settlement Agreement"), between Staff of New SRO and the Respondent as a consequence of which the following sanctions were imposed on the Respondent:
    a fine in the amount of $20,000; and
    costs in the amount of $5,000.
  • New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.
  • For more information, visit www.newselfregulatoryorganizationofcanada.ca .

New SRO Hearing Panel issues Reasons for Decision in the matter of Roger Gebhardt

Retrieved on: 
Wednesday, March 29, 2023
Investment Industry Regulatory Organization of Canada, Organization, Reason (argument), Vexatious litigation, Mutual Fund Dealers Association, Decision, Investment, Hearing, Indian Residential Schools Settlement Agreement, Respondent, Financial adviser

TORONTO, March 29, 2023 /CNW/ - A Hearing Panel of the Mutual Fund Dealers Association of Canada, now New Self-Regulatory Organization of Canada ("New SRO"), has issued its Reasons for Decision dated January 26, 2023 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontario on August 12, September 21 and October 31, 2022, in the matter of Roger Eldred Gebhardt (the "Respondent").

Key Points: 
  • TORONTO, March 29, 2023 /CNW/ - A Hearing Panel of the Mutual Fund Dealers Association of Canada, now New Self-Regulatory Organization of Canada ("New SRO"), has issued its Reasons for Decision dated January 26, 2023 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontario on August 12, September 21 and October 31, 2022, in the matter of Roger Eldred Gebhardt (the "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 .
  • New Self-Regulatory Organization of Canada is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.