Central Region, Scotland

MFDA Hearing Panel issues Reasons for Decision in the matter of Helen Collymore

Retrieved on: 
Wednesday, December 14, 2022
Reason (argument), Central Region, Scotland, Hearing, Person, Respondent, Mutual Fund Dealers Association, Financial adviser

TORONTO, Dec. 14, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated December 14, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon September 29, 2022, in the matter of Helen Collymore (the "Respondent").

Key Points: 
  • TORONTO, Dec. 14, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated December 14, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon September 29, 2022, in the matter of Helen Collymore (the "Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision are available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business in the Mississauga, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Margaret Cheng

Retrieved on: 
Wednesday, December 14, 2022
Margaret, Reason (argument), Central Region, Scotland, Hearing, Person, Canadian Securities Institute, Respondent, Mutual Fund Dealers Association, Textile, Financial adviser

TORONTO, Dec. 14, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated December 9, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon November 3, 2022, in the matter of Margaret Sau-Ching Cheng (the "Respondent").

Key Points: 
  • TORONTO, Dec. 14, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated December 9, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon November 3, 2022, in the matter of Margaret Sau-Ching Cheng (the "Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision are available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business in the Markham, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Helen Collymore

Retrieved on: 
Wednesday, December 14, 2022
Reason (argument), Central Region, Scotland, Hearing, Person, Respondent, Mutual Fund Dealers Association, Financial adviser

TORONTO, Dec. 14, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated December 14, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon September 29, 2022, in the matter of Helen Collymore (the "Respondent").

Key Points: 
  • TORONTO, Dec. 14, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated December 14, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon September 29, 2022, in the matter of Helen Collymore (the "Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • A copy of the Reasons for Decision are available on the MFDA website at www.mfda.ca .
  • During the period described in the Reasons for Decision, the Respondent conducted business in the Mississauga, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Everest D'Souza

Retrieved on: 
Tuesday, December 13, 2022
Reason (argument), Central Region, Scotland, Decision, Hearing, Person, Fine, Respondent, Mutual Fund Dealers Association, Financial adviser

TORONTO, Dec. 13, 2022 /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 December 9, 2022 ("Reasons for Decision"), in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon September 28, 2022, in the matter of Everest Nicholas Louis D'Souza (the "Respondent").

Key Points: 
  • TORONTO, Dec. 13, 2022 /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 December 9, 2022 ("Reasons for Decision"), in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon September 28, 2022, in the matter of Everest Nicholas Louis D'Souza (the "Respondent").
  • In its Reasons for Decision, the Hearing Panel outlined its findings of misconduct and 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 Markham, Ontario area.

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.

MFDA issues Notice of Settlement Hearing in respect of Tyler Comrie

Retrieved on: 
Tuesday, December 6, 2022
Person, Hearing, Respondent, Mutual Fund Dealers Association, Settlement, Central Region, Scotland, CNW, Financial adviser

The settlement agreement will be between Staff of the MFDA and Tyler Justin Comrie (the "Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.

Key Points: 
  • The settlement agreement will be between Staff of the MFDA and Tyler Justin Comrie (the "Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.
  • MFDA settlement hearings are typically held in the absence of the public pursuant to section 20.5 of MFDA By-law No.
  • A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca .
  • During the period described in the Notice of Settlement Hearing, the Respondent conducted business in the Mississauga, Ontario area.

MFDA Hearing Panel accepts settlement agreement with Dennis Duclos

Retrieved on: 
Tuesday, December 6, 2022
Indian Residential Schools Settlement Agreement, Person, Policy, Respondent, Mutual Fund Dealers Association, Settlement, Central Region, Scotland, Hearing, Financial adviser, Clothing

TORONTO, Dec. 6, 2022 /CNW/ - A settlement hearing in the matter of Dennis Jerome Duclos (the"Respondent") was held electronically by videoconference on December 5, 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. 6, 2022 /CNW/ - A settlement hearing in the matter of Dennis Jerome Duclos (the"Respondent") was held electronically by videoconference on December 5, 2022 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 Waterloo, Ontario 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 issues Notice of Settlement Hearing in respect of Christian Perrault

Retrieved on: 
Monday, December 5, 2022
Person, Hearing, Respondent, Mutual Fund Dealers Association, Settlement, Central Region, Scotland, Financial adviser

The settlement agreement will be between Staff of the MFDA and Christian Perrault (the "Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.

Key Points: 
  • The settlement agreement will be between Staff of the MFDA and Christian Perrault (the "Respondent") and involves matters for which the Respondent may be disciplined by a Hearing Panel pursuant to MFDA By-laws.
  • MFDA settlement hearings are typically held in the absence of the public pursuant to section 20.5 of MFDA By-law No.
  • A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca .
  • During the period described in the Notice of Settlement Hearing, the Respondent carried on business in the Hammond, Ontario area.

MFDA announces disciplinary proceeding in respect of Paul Walker

Retrieved on: 
Tuesday, November 29, 2022
Mutual Fund Dealers Association, Rule, Central Region, Scotland, Exercise, Notice of Hearing, Sale, Respondent, Person, Financial adviser, Hearing

TORONTO, Nov. 29, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Paul O'Brian Walker (the "Respondent").

Key Points: 
  • TORONTO, Nov. 29, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Paul O'Brian Walker (the "Respondent").
  • As the conduct addressed in this proceeding, pre-dated the amendment to the Rule, any reference to MFDA Rule 2.1.4 in this proceeding is to the version of MFDA Rule 2.1.4 that was in effect between February 27, 2006 and June 30, 2021.
  • 2 Effective December 3, 2010, MFDA Rule 1.2.1(d) concerning dual occupations was renumbered as MFDA Rule 1.2.1(c).
  • Effective March 17, 2016, MFDA Rule 1.2.1(c) was amended and renumbered as MFDA Rule 1.3.

MFDA Hearing Panel issues Reasons for Decision in the matter of Fahad Izhar

Retrieved on: 
Monday, November 28, 2022
Respondent, Hearing, Central Region, Scotland, Person, Mutual Fund Dealers Association, Reason (argument), Decision, Financial adviser

TORONTO, Nov. 28, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated November 24, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon September 22, 2022, in the matter of Fahad Izhar (the "Respondent").

Key Points: 
  • TORONTO, Nov. 28, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (the "MFDA") has issued its Reasons for Decision dated November 24, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon September 22, 2022, in the matter of Fahad Izhar (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 .
  • During the period described in the Reasons for Decision, the Respondent conducted business in the Toronto, Ontario area.