Central Region, Scotland

MFDA Hearing Panel accepts settlement agreement with Sandra Rizovska-Spasik

Retrieved on:

Monday, September 26, 2022

Settlement, Mutual Fund Dealers Association, Investor, Central Region, Scotland, Indian Residential Schools Settlement Agreement, Person, Respondent, Hearing, Fine, Online gambling, Animal, Renewable energy, Financial adviser, Kitchener

TORONTO, Sept. 26, 2022 /CNW/ - A settlement hearing in the matter of Sandra Rizovska-Spasik (the"Respondent") was held electronically by videoconference on September 22, 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, Sept. 26, 2022 /CNW/ - A settlement hearing in the matter of Sandra Rizovska-Spasik (the"Respondent") was held electronically by videoconference on September 22, 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 August 11, 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:
payment of the Fine and Costs shall be made in instalments as follows:
$8,000 (Fine) on September 22, 2022;
$2,500 (Costs) on September 22, 2022;
$1,000 (Fine) on or before September 30, 2022;
$2,000 (Fine) on or before October 31, 2022;
$2,000 (Fine) on or before November 30, 2022; and
shall in the future comply with MFDA Rule 2.1.1.
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 Kitchener, Ontario area.

MFDA Hearing Panel accepts settlement agreement with Dessislava Hristova

Retrieved on:

Monday, September 26, 2022

Settlement, Mutual Fund Dealers Association, Investor, Central Region, Scotland, Indian Residential Schools Settlement Agreement, Person, Respondent, Hearing, Online gambling, Financial adviser

TORONTO, Sept. 26, 2022 /CNW/ - A settlement hearing in the matter of Dessislava Hristova (the"Respondent") was held electronically by videoconference on September 23, 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, Sept. 26, 2022 /CNW/ - A settlement hearing in the matter of Dessislava Hristova (the"Respondent") was held electronically by videoconference on September 23, 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 carried on business in the Toronto, 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 Hearing Panel issues Reasons for Decision in the matter of William Craven

Retrieved on:

Friday, September 23, 2022

Mutual Fund Dealers Association, Investor, Central Region, Scotland, Reason (argument), Person, Respondent, Hearing, Ethics, Online gambling, Financial adviser

TORONTO, Sept. 23, 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 September 13, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon August 25, 2022, in the matter of William Donald Craven (the "Respondent").

Key Points:

TORONTO, Sept. 23, 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 September 13, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon August 25, 2022, in the matter of William Donald Craven (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 Chatham, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Erich Juillet

Retrieved on:

Thursday, September 15, 2022

Mutual Fund Dealers Association, Investor, Central Region, Scotland, Ethics, Reason (argument), Person, Respondent, Hearing, Online gambling, Financial adviser

TORONTO, Sept. 15, 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 September 14, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon August 23, 2022, in the matter of Erich Gilles Juillet (the "Respondent").

Key Points:

TORONTO, Sept. 15, 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 September 14, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon August 23, 2022, in the matter of Erich Gilles Juillet (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 Ottawa, Ontario area.

MFDA issues Notice of Settlement Hearing in respect of Timothy Laskey

Retrieved on:

Wednesday, September 14, 2022

Settlement, Mutual Fund Dealers Association, Hearing, Investor, Central Region, Scotland, Person, Respondent, Review, Online gambling, Financial adviser

The settlement agreement will be between Staff of the MFDA and Timothy James Laskey (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 Timothy James Laskey (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 London, Ontario area.

MFDA Hearing Panel accepts settlement agreement with William McTavish

Retrieved on:

Tuesday, September 13, 2022

Settlement, Mutual Fund Dealers Association, Investor, Central Region, Scotland, Indian Residential Schools Settlement Agreement, Person, Respondent, Hearing, Online gambling, Financial adviser

TORONTO, Sept. 13, 2022 /CNW/ - A settlement hearing in the matter of William McTavish (the"Respondent") was held electronically by videoconference on September 8, 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, Sept. 13, 2022 /CNW/ - A settlement hearing in the matter of William McTavish (the"Respondent") was held electronically by videoconference on September 8, 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 carried on business in the Newmarket, 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 announces disciplinary proceeding in respect of Ann Reid

Retrieved on:

Friday, September 9, 2022

Person, Notice of Hearing, Exercise, Mutual Fund Dealers Association, Central Region, Scotland, MW, Respondent, Investor, Financial adviser, Real estate, Online gambling, Mississauga, Hearing, Rule

TORONTO, Sept. 9, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Ann Marie Reid (the "Respondent").

Key Points:

TORONTO, Sept. 9, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Ann Marie Reid (the "Respondent").
1 On January 19, 2017, amendments to MFDA Rule 2.3.1 came into effect.
When MFDA Rule 2.3.1 is referred to in this Notice of Hearing, Staff alleges that the Respondent's conduct contravened both versions of the Rule (i.e.
2 On June 30, 2021, amendments to MFDA Rule 2.1.4 came into effect.

MFDA issues Notice of Settlement Hearing in respect of Sandra Rizovska-Spasik

Retrieved on:

Wednesday, September 7, 2022

Person, Hearing, Mutual Fund Dealers Association, Settlement, Central Region, Scotland, Respondent, Investor, Review, Financial adviser, Kitchener

The settlement agreement will be between Staff of the MFDA and Sandra Rizovska-Spasik (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 Sandra Rizovska-Spasik (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 Kitchener, Ontario area.

MFDA Hearing Panel make findings of misconduct and imposes sanctions against Nhat Trieu

Retrieved on:

Thursday, September 1, 2022

Person, Notice of Hearing, Mutual Fund Dealers Association, Fine, Central Region, Scotland, Respondent, Notice, Investor, Amend, Online gambling, Financial adviser, Hearing

A disciplinary hearing in this proceeding was held on August 19, 2022 electronically by videoconference before a three-member Hearing Panel of the MFDA's Central Regional Council.

Key Points:

A disciplinary hearing in this proceeding was held on August 19, 2022 electronically by videoconference before a three-member Hearing Panel of the MFDA's Central Regional Council.
After receiving evidence and hearing submissions from the parties, the Hearing Panel found that the allegation set out in the Amended Notice of Hearing had been established.
In particular, the Hearing Panel made the following findings of misconduct:
Allegation #1: Commencing in March 2020, the Respondent failed to cooperate with an investigation into his conduct by Staff of the MFDA, contrary to section 22.1 of MFDA By-law No.
During the period described in the Amended Notice of Hearing, the Respondent carried on business in the Markham, Ontario area.

MFDA issues Notice of Settlement Hearing in respect of Dessislava Hristova

Retrieved on:

Tuesday, August 30, 2022

Person, Hearing, Mutual Fund Dealers Association, Settlement, Central Region, Scotland, Respondent, Investor, Review, Online gambling, Financial adviser

The settlement agreement will be between Staff of the MFDA and Dessislava Hristova (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 Dessislava Hristova (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 Toronto, Ontario area.