Indian Residential Schools Settlement Agreement

MFDA Hearing Panel accepts settlement agreement with Funds Direct Canada Inc.

Retrieved on: 
Wednesday, December 21, 2022
Mutual Fund Dealers Association, Fine, Indian Residential Schools Settlement Agreement, Hearing, National instrument, Legislation, Person, Fireworks, Financial adviser, Policy

TORONTO, Dec. 21, 2022 /CNW/ - A settlement hearing in the matter of Funds Direct Canada Inc. (the "Respondent") was held electronically by videoconference on December 20, 2022 in Regina, Saskatchewan before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, Dec. 21, 2022 /CNW/ - A settlement hearing in the matter of Funds Direct Canada Inc. (the "Respondent") was held electronically by videoconference on December 20, 2022 in Regina, Saskatchewan before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • 2.
    a)  between October 1, 2019 and September 30, 2020, it failed to conduct or maintain evidence of tier-one trade supervision, contrary to MFDA Rules 2.2.1(c), 2.5, and MFDA Policy No.
  • 2;1
    b)  between October 1, 2019 and September 30, 2020, it failed to ensure that tier-one trade supervision was conducted on a timely basis, contrary to MFDA Rules 2.2.1(c), 2.5, and MFDA Policy No.
  • 1 On December 31, 2021, MFDA Rule 2.2.1 and MFDA Policy No.

MFDA Hearing Panel accepts settlement agreement with Zhi Cheng Charles Jiang

Retrieved on: 
Wednesday, December 21, 2022
Mutual Fund Dealers Association, Spouse, Respondent, Indian Residential Schools Settlement Agreement, Settlement, Hearing, Central Region, Scotland, Canadian Securities Institute, Person, Financial adviser

TORONTO, Dec. 21, 2022 /CNW/ - A settlement hearing in the matter of Zhi Cheng Charles Jiang (the "Respondent") was held electronically by videoconference today 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, Dec. 21, 2022 /CNW/ - A settlement hearing in the matter of Zhi Cheng Charles Jiang (the "Respondent") was held electronically by videoconference today in Toronto, Ontario before a three-member Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • The Hearing Panel accepted the settlement agreement dated December 19, 2022 (the "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 $25,000;
    costs in the amount of $5,000; and
    shall successfully complete the Investment Dealer Supervisors Course offered by the Canadian Securities Institute, or another industry supervision course that is acceptable to Staff of the MFDA within six months of the acceptance of the Settlement Agreement.
  • 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 Markham, Ontario area.

MFDA Hearing Panel accepts settlement agreement with Robert Watts

Retrieved on: 
Tuesday, December 20, 2022
Mutual Fund Dealers Association, Respondent, Indian Residential Schools Settlement Agreement, Settlement, Hearing, Person, Financial adviser

TORONTO, Dec. 19, 2022 /CNW/ - A settlement hearing in the matter of Robert George Watts (the "Respondent") was held electronically by videoconference on December 6, 2022 in Winnipeg, Manitoba before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, Dec. 19, 2022 /CNW/ - A settlement hearing in the matter of Robert George Watts (the "Respondent") was held electronically by videoconference on December 6, 2022 in Winnipeg, Manitoba 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 Winnipeg, Manitoba 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 accepts settlement agreement with Laura Kowall

Retrieved on: 
Monday, December 19, 2022
Mutual Fund Dealers Association, Respondent, Indian Residential Schools Settlement Agreement, Settlement, Hearing, Person, Financial adviser

TORONTO, Dec. 19, 2022 /CNW/ - A settlement hearing in the matter of Laura Caitlin Kowall (the "Respondent") was held electronically by videoconference on December 6, 2022 in Winnipeg, Manitoba before a three-member Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").

Key Points: 
  • TORONTO, Dec. 19, 2022 /CNW/ - A settlement hearing in the matter of Laura Caitlin Kowall (the "Respondent") was held electronically by videoconference on December 6, 2022 in Winnipeg, Manitoba 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 Winnipeg, Manitoba 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 accepts settlement agreement with Queen Financial Group Inc.

Retrieved on: 
Monday, December 19, 2022
Rule, Mutual Fund Dealers Association, Respondent, Indian Residential Schools Settlement Agreement, Hearing, National instrument, Central Region, Scotland, Person, Sale, Settlement, Financial adviser

TORONTO, Dec. 19, 2022 /CNW/ - A settlement hearing in the matter of Queen Financial Group Inc. (the "Respondent") was held electronically by videoconference on December 15, 2022 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, Dec. 19, 2022 /CNW/ - A settlement hearing in the matter of Queen Financial Group Inc. (the "Respondent") was held electronically by videoconference on December 15, 2022 in Toronto, Ontario before a three-member Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • The Hearing Panel accepted the settlement agreement dated December 12, 2022 (the "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 $30,000; and
    costs in the amount of $7,500.
  • 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.
  • 1 On December 31, 2021, MFDA Rule 2.2 was amended to conform with client focused reforms to National Instrument 31-103.

Enforcement Notice - Decision - 22-0203 - IIROC Sanctions Krystal Dawn Morrison

Retrieved on: 
Thursday, December 15, 2022
Indian Residential Schools Settlement Agreement, Setter Capital Inc, Settlement, Collection, Enforcement, Wellington, Investment Industry Regulatory Organization of Canada, Financial adviser, Property management, Saskatoon, IIROC

SASKATOON, SK, Dec. 15, 2022 /CNW/ - On December 6, 2022, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Krystal Dawn Morrison.

Key Points: 
  • SASKATOON, SK, Dec. 15, 2022 /CNW/ - On December 6, 2022, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Krystal Dawn Morrison.
  • Pursuant to the Settlement Agreement, Ms. Morrison agreed to the following penalty:
    A fine in the amount of $40,000.
  • IIROC is the pan-Canadian self-regulatory organization that oversees all investment dealers and their trading activity in Canada's debt and equity markets.
  • IIROC sets high quality regulatory and investment industry standards, protects investors and strengthens market integrity while supporting healthy Canadian capital markets.

Settlement Administrator Simpluris Announces Proposed Settlement in Overstock Furniture & Mattress Store Class Action

Retrieved on: 
Tuesday, December 13, 2022
Post office box, Overstock, United States district court, Settlement, Mattress, Indian Residential Schools Settlement Agreement, Notice, Class, Paragraph, DO, Multimedia, L.L.C, Good Deal, Hearing, Department store, Pharmaceutical industry, Health insurance

COSTA MESA, Calif., Dec. 13, 2022 /PRNewswire/ -- A settlement has been reached in the case of Dennis, et al. v. Good Deal Charlie, Inc., et al., case number 4:20-cv-00295, which alleges that Overstock, Southeastern Liquidators, LLC, Strategic Partner Holding LLC, and Cheap Sleep, L.L.C. engaged in improper and misleading labeling on "scratch and dent" mattresses sold at its stores. 

Key Points: 
  • If you acquired a mattress from any Overstock Furniture & Mattress store between June 18, 2017, and October 25, 2022, you may be entitled to a cash payment and a store rebate.
  • Am I covered by the class action lawsuit and the proposed settlement?
  • You are a member of the Class if you acquired a mattress from any Overstock store between June 18, 2017, and October 25, 2022.
  • Class members who do not object to the settlement are not required to appear or take any other action.

MFDA announces settlement hearing to take place in the matter of George Yamamoto

Retrieved on: 
Friday, December 9, 2022
Person, Exercise, Respondent, Mutual Fund Dealers Association, Settlement, National instrument, Notice of Hearing, Indian Residential Schools Settlement Agreement, Notice, Central Region, Scotland, Rule, Wills, Financial adviser, Hearing

TORONTO, Dec. 9, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of George Yamamoto (the "Respondent") by Notice of Hearing datedOctober 7, 2022 (the "Notice of Hearing").

Key Points: 
  • TORONTO, Dec. 9, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of George Yamamoto (the "Respondent") by Notice of Hearing datedOctober 7, 2022 (the "Notice of Hearing").
  • As the result of a settlement agreement entered into between Staff of the MFDA and the Respondent, a settlement hearing will take place electronically by videoconference before a Hearing Panel of the MFDA's Central Regional Council on December 15, 2022, commencing at 10:00a.m.
  • The subject matter of the proposed settlement agreement concerns matters for which the Respondent may be disciplinedpursuant to ss.
  • MFDA settlement hearings are typically held in the absence of the public pursuant to section 20.5 of MFDA By-law No.

Hagens Berman Sobol Shapiro LLP and Gustafson Gluek PLLC Announce an Additional $75 Million Settlement for Consumers Who Purchased Pork Products

Retrieved on: 
Friday, December 9, 2022
District court, JBS, Client First Settlement Funding, Judgement, Person, Settlement, Hormel, Defendant, Tyson Foods, Inc. v. Bouaphakeo, Court, ARE, Indian Residential Schools Settlement Agreement, Family, FAQ, Hearing, Tobacco, Insurance, Pharmaceutical industry, Pork

Before any money is paid, the Court will hold a hearing to decide whether to approve the Settlement.

Key Points: 
  • Before any money is paid, the Court will hold a hearing to decide whether to approve the Settlement.
  • Under the terms of the Settlement Agreement, Smithfield will pay $75,000,000 to resolve all Settlement Class claims against it in this litigation.
  • You do not need to take any action to remain a member of the Settlement Class and be bound by the Settlement Agreement.
  • If you don't exclude yourself from the Settlement Class, you may still object to the Settlement Agreement by February 7, 2023.

Enforcement Notice - Decision - IIROC Sanctions R. J. O'Brien & Associates Canada Inc.

Retrieved on: 
Thursday, December 8, 2022
Registered representative (securities), Settlement, Indian Residential Schools Settlement Agreement, Enforcement, Investment Industry Regulatory Organization of Canada, Financial adviser, Property management, IIROC

Pursuant to the Settlement Agreement, R. J. O'Brien & Associates Canada Inc. agreed to the following penalty:

Key Points: 
  • Pursuant to the Settlement Agreement, R. J. O'Brien & Associates Canada Inc. agreed to the following penalty:
    (a) a fine in the amount of $90,000.
  • R. J. O'Brien & Associates Canada Inc. also agreed to pay costs in the amount of $10,000.
  • The Settlement Agreement is available at:
    IIROC formally initiated the investigation into R. J. O'Brien & Associates Canada Inc.'s conduct in January 2019.
  • All information about disciplinary proceedings relating to current and former member firms is available in the Enforcement section of the IIROC website.