Central Region, Scotland

MFDA Hearing Panel issues Decision and Reasons in the matter of Christine Levesque

Retrieved on: 
Wednesday, July 20, 2022

TORONTO, July 20, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons dated July19,2022 ("Decision and Reasons") in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon June 3, 2022in the matter of Christine Claudette Levesque (the"Respondent").

Key Points: 
  • TORONTO, July 20, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons dated July19,2022 ("Decision and Reasons") in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon June 3, 2022in the matter of Christine Claudette Levesque (the"Respondent").
  • In its Decision and Reasons, the Hearing Panel found that the three allegations made against the Respondent in the Notice of Hearing dated March 25, 2021 (the "Notice of Hearing") had been established.
  • Copies of the Notice of Hearing and the Decision and Reasons are available on the MFDA website at www.mfda.ca .
  • During the period described in the Decision and Reasons, the Respondent carried on business in the St. Andrew, Ontario area.

MFDA Hearing Panel accepts settlement agreement with Maurice Mailloux

Retrieved on: 
Thursday, July 7, 2022

TORONTO, July 7, 2022 /CNW/ - A settlement hearing in the matter of Maurice Gary Mailloux (the "Respondent") was held today electronically by videoconference 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 7, 2022 /CNW/ - A settlement hearing in the matter of Maurice Gary Mailloux (the "Respondent") was held today electronically by videoconference 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 29, 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 $15,000;
    costs in the amount of $5,000;
    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 Belle River, Ontario area.

MFDA Hearing Panel make findings of misconduct against TeamMax Investment Corp.

Retrieved on: 
Tuesday, July 5, 2022

TORONTO, July 5, 2022 /CNW/ -The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of TeamMax Investment Corp. (the "Respondent") by Notice of Hearing dated November 11, 2021 ("Notice of Hearing").

Key Points: 
  • TORONTO, July 5, 2022 /CNW/ -The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of TeamMax Investment Corp. (the "Respondent") by Notice of Hearing dated November 11, 2021 ("Notice of Hearing").
  • After receiving evidence and hearing submissions from MFDA Staff with respect to misconduct, the Hearing Panel found that the four allegations set out in the Notice of Hearing had been established.
  • Allegation #2: Commencing on or about October 30, 2016, the Respondent failed to ensure its compliance with the terms of an Order of a MFDA Hearing Panel, dated July 8, 2014, in MFDA File No.
  • The Hearing Panel advised that it will issue written reasons for its decision as to misconduct in due course.

MFDA Hearing Panel issues Decision and Reasons in the matter of Chanrith Yin

Retrieved on: 
Monday, July 4, 2022

TORONTO, July 4, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons dated July4,2022 ("Decision and Reasons") in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon May 26, 2022in the matter of Chanrith Yin (the"Respondent").

Key Points: 
  • TORONTO, July 4, 2022 /CNW/ - A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Decision and Reasons dated July4,2022 ("Decision and Reasons") in connection with a disciplinary hearing held electronically by videoconference in Toronto, Ontarioon May 26, 2022in the matter of Chanrith Yin (the"Respondent").
  • In its Decision and Reasons, the Hearing Panel outlined its findings of misconduct made against the Respondent.
  • A copy of the Decision and Reasons is available on the MFDA website at www.mfda.ca .
  • 2 MFDA Rule 1.2.1(c) was amended and renumbered as MFDA Rule 1.3 effective on March 17, 2016.

MFDA Hearing Panel issues Reasons for Decision in the matter of Alex Eng

Retrieved on: 
Monday, July 4, 2022

TORONTO, July 4, 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 June29, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 26, 2022, in the matter of AlexEng(the "Respondent").

Key Points: 
  • TORONTO, July 4, 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 June29, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 26, 2022, in the matter of AlexEng(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 Montreal, Qubec.

MFDA Hearing Panel issues Reasons for Decision in the matter of Anthony Chiaravalloti

Retrieved on: 
Wednesday, June 29, 2022

TORONTO, June 29, 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 June 23, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 17, 2022, in the matter of Anthony Peter Chiaravalloti(the "Respondent").

Key Points: 
  • TORONTO, June 29, 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 June 23, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 17, 2022, in the matter of Anthony Peter Chiaravalloti(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 Vaughan, Ontario area.

MFDA Hearing Panel makes findings of misconduct and reserves judgment on sanctions against Nicholas Rivet

Retrieved on: 
Wednesday, June 22, 2022

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

Key Points: 
  • A disciplinary hearing in this proceeding was held electronically by videoconference today before a three-member Hearing Panel of the MFDA's Central Regional Council.
  • After receiving evidence and hearing submissions by Staff of the MFDA, the Hearing Panel found that the three allegations set out in the Notice of Hearing had been established.
  • In particular, the Hearing Panel made the following findings of misconduct:
    Allegation #1: Between approximately December 2017 and January 2018, the Respondent misappropriated or failed to account for monies obtained from a client, contrary to MFDA Rule 2.1.1.
  • Following submissions from Staff of the MFDA with respect to penalty, the Hearing Panel reserved its judgment and advised that it will issue its written decision and provide its reasons in due course.

MFDA Hearing Panel accepts settlement agreement with Xinyi Pu

Retrieved on: 
Tuesday, June 21, 2022

TORONTO, June 21, 2022 /CNW/ - A settlement hearing in the matter of Xinyi (Millie) Pu (the"Respondent") was held electronically by videoconference on June 20, 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, June 21, 2022 /CNW/ - A settlement hearing in the matter of Xinyi (Millie) Pu (the"Respondent") was held electronically by videoconference on June 20, 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 April 18, 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 $5,000;
    costs in the amount of $2,500;
    shall successfully complete the Ethics and Professional Conduct Course offered by the IFSE Institute, or an industry course acceptable to Staff of the MFDA, by December 20, 2022; and
    shall in the future comply with MFDA Rules 2.1.3, 2.1.1, and 1.1.2 (as it relates to MFDA Rule 2.5.1).
  • 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 conducted business in the North York, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Rakesh Garg

Retrieved on: 
Monday, June 13, 2022

TORONTO, June 13, 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 June 13, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 4, 2022, in the matter of Rakesh Garg(the "Respondent").

Key Points: 
  • TORONTO, June 13, 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 June 13, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon May 4, 2022, in the matter of Rakesh Garg(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 Mississauga, Ontario area.

MFDA Hearing Panel issues Reasons for Decision in the matter of Liliana Marin

Retrieved on: 
Wednesday, June 8, 2022

TORONTO, June 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 June7, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 6, 2022, in the matter of Liliana Teresa Marin(the "Respondent").

Key Points: 
  • TORONTO, June 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 June7, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 6, 2022, in the matter of Liliana Teresa Marin(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 Toronto, Ontario area.