Central Region, Scotland

MFDA issues Notice of Settlement Hearing in respect of William McTavish

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 William McTavish (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 William McTavish (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 Newmarket, Ontario area.

MFDA Hearing Panel accepts settlement agreement with William Craven

Retrieved on: 
Friday, August 26, 2022
Person, Ethics, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Hearing, Settlement, Central Region, Scotland, Respondent, Investor, Online gambling, Financial adviser, Cryptocurrency

TORONTO, Aug. 26, 2022 /CNW/ -A settlement hearing in the matter of William Donald Craven (the"Respondent") was held electronically by videoconference on August 25, 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, Aug. 26, 2022 /CNW/ -A settlement hearing in the matter of William Donald Craven (the"Respondent") was held electronically by videoconference on August 25, 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 Chatham, 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 accepts settlement agreement with Erich Juillet

Retrieved on: 
Thursday, August 25, 2022
Person, Ethics, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Hearing, Settlement, Central Region, Scotland, Respondent, Investor, Online gambling, Financial adviser, Cryptocurrency

TORONTO, Aug. 25, 2022 /CNW/ - As previously announced , the settlement hearing in the matter of Erich Gilles Juillet (the"Respondent") was held electronically by videoconference on August 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, Aug. 25, 2022 /CNW/ - As previously announced , the settlement hearing in the matter of Erich Gilles Juillet (the"Respondent") was held electronically by videoconference on August 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 conducted business in the Ottawa, 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 Leszek Dziadecki

Retrieved on: 
Monday, August 15, 2022
Investment, Sale, Person, Central Region, Scotland, Notice of Hearing, Investor, Mutual Fund Dealers Association, Respondent, Financial adviser, Hearing

TORONTO, Aug. 15, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Leszek Dziadecki (the "Respondent").

Key Points: 
  • TORONTO, Aug. 15, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Leszek Dziadecki (the "Respondent").
  • Allegation #2: Between 2015 and 2017, the Respondent engaged in unapproved outside business activities in relation to syndicated mortgage investments, contrary to the Member's policies and procedures and MFDA Rules 1.2.1(c) (now MFDA Rule 1.3), 2.1.1, and 1.1.2 (as it relates to MFDA Rule 2.5.1).
  • A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca .
  • As the Respondent engaged in the alleged misconduct addressed in this proceeding prior to January 21, 2021, in this proceeding, Staff is relying on the version of MFDA Rule 1.1.1 that was in effect prior to the January 21, 2021 amendments.

MFDA Hearing Panel issues Reasons for Decision in the matter of Maurice Mailloux

Retrieved on: 
Wednesday, August 10, 2022
Person, Maurice, Hearing, Central Region, Scotland, Investor, Decision, Belle River, Respondent, Mutual Fund Dealers Association, Reason (argument), Online gambling, Financial adviser

In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.

Key Points: 
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • In particular, the Respondent:
    has paid a fine of $15,000;
    has paid costs of $5,000; and
    shall in the future comply with MFDA Rule 2.1.1.
  • 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 carried on business in the Belle River, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Hon Ting (Patrick) Yung

Retrieved on: 
Wednesday, August 10, 2022
Person, Hearing, Central Region, Scotland, Investor, Decision, Respondent, Mutual Fund Dealers Association, Reason (argument), Online gambling, Employment agency, Financial adviser

TORONTO, Aug. 10, 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 July 29, 2022 ("Reasons forDecision"), in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon May 19, 2022, in the matter of Hon Ting (Patrick) Yung (the "Respondent").

Key Points: 
  • TORONTO, Aug. 10, 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 July 29, 2022 ("Reasons forDecision"), in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon May 19, 2022, in the matter of Hon Ting (Patrick) Yung (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 carried on business in the Ottawa, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Pieter Lindhout

Retrieved on: 
Monday, August 8, 2022
Decision, Reason (argument), Ethics, Hearing, Person, Central Region, Scotland, Investor, Mutual Fund Dealers Association, Respondent, Online gambling, Financial adviser, Sarnia

TORONTO, Aug. 8, 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 July21, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 25, 2022, in the matter of Pieter Hendrik Leendert Lindhout(the "Respondent").

Key Points: 
  • TORONTO, Aug. 8, 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 July21, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 25, 2022, in the matter of Pieter Hendrik Leendert Lindhout(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 carried on business in the Sarnia, Ontario area.

MFDA announces settlement hearing to take place in the matter of Roger Gebhardt

Retrieved on: 
Monday, August 8, 2022
Exercise, Rule, National instrument, Notice, Person, Central Region, Scotland, Notice of Hearing, Investor, Indian Residential Schools Settlement Agreement, Mutual Fund Dealers Association, Respondent, Financial adviser, Online gambling, Public relations, Hearing

TORONTO, Aug. 8, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Roger Eldred Gebhardt (the "Respondent") by Notice of Hearing dated October 7, 2021 ("Notice of Hearing").

Key Points: 
  • TORONTO, Aug. 8, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Roger Eldred Gebhardt (the "Respondent") by Notice of Hearing dated October 7, 2021 ("Notice of Hearing").
  • As the result of a settlementagreement 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 August 12, 2022, commencing at 10:00a.m.
  • The subject matter of the proposed settlement agreement concerns matters for which the Respondent may be disciplined pursuant 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 Hearing Panel issues Reasons for Decision in the matter of Paul Bannab

Retrieved on: 
Tuesday, July 26, 2022
Hearing, Mutual Fund Dealers Association, Respondent, St. Catharines, Person, Central Region, Scotland, Decision, Reason (argument), Investor, Online gambling, Financial adviser

TORONTO, July 26, 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 July21, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 25, 2022, in the matter of Paul Bannab(the "Respondent").

Key Points: 
  • TORONTO, July 26, 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 July21, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 25, 2022, in the matter of Paul Bannab(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 St. Catharines, Ontario area.

MFDA Hearing Panel accepts settlement agreement with Jeong Shin

Retrieved on: 
Thursday, July 21, 2022
Respondent, Indian Residential Schools Settlement Agreement, Hearing, Person, Exercise, Mutual Fund Dealers Association, Settlement, Association, Central Region, Scotland, Investor, Online gambling, Financial adviser

TORONTO, July 21, 2022 /CNW/ - A settlement hearing in the matter of Jeong Heon (Abraham) Shin (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, July 21, 2022 /CNW/ - A settlement hearing in the matter of Jeong Heon (Abraham) Shin (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 April 28, 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 permanent prohibition from conducting securities related business while in the employ of or in association with a Member of the MFDA;
    a fine in the amount of $50,000; and
    costs in the amount of $5,000.
  • 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 Toronto, Ontario area.