Central Region, Scotland

MFDA Hearing Panel issues Reasons for Decision in the matter of Kenneth Russell

Retrieved on: 
Wednesday, May 25, 2022
No, Ethics, Person, Mutual Fund Dealers Association, Hearing, Investor, Central Region, Scotland, Respondent, Reason (argument), Decision, Online gambling, Financial adviser

TORONTO, May 24, 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 April 27, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 1, 2022, in the matter of Kenneth George Russell(the "Respondent").

Key Points: 
  • TORONTO, May 24, 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 April 27, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 1, 2022, in the matter of Kenneth George Russell(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 London, Ontario area.

MFDA announces disciplinary proceeding in respect of Patricia Sonne

Retrieved on: 
Friday, May 20, 2022
Notice of Hearing, Person, Mutual Fund Dealers Association, Investor, Central Region, Scotland, Respondent, Belle River, Financial adviser, Online gambling, Hearing

TORONTO, May 20, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Patricia May Sonne (the "Respondent").

Key Points: 
  • TORONTO, May 20, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada (the "MFDA") has commenced disciplinary proceedings in respect of Patricia May Sonne (the "Respondent").
  • The appearance will be open to the public, except as may be required for the protection of confidential matters.
  • A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca .
  • During the period described in the Notice of Hearing, the Respondent conducted business in the Belle River, Ontario area.

MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Hon Ting (Patrick) Yung

Retrieved on: 
Thursday, May 19, 2022
Notice of Hearing, Respondent, Person, Notice, Mutual Fund Dealers Association, Investor, Central Region, Scotland, Online gambling, Financial adviser, Hearing

TORONTO, May 19, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Hon Ting (Patrick) Yung(the "Respondent") by Notice of Hearing dated November 24, 2021 ("Notice of Hearing").

Key Points: 
  • TORONTO, May 19, 2022 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") commenced a disciplinary proceeding in respect of Hon Ting (Patrick) Yung(the "Respondent") by Notice of Hearing dated November 24, 2021 ("Notice of Hearing").
  • A disciplinary hearing in this proceeding was held today electronically by videoconference 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 two allegations set out in the Notice of Hearing had been established.
  • A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca .

MFDA announces settlement hearing to take place in the matter of Anthony Chiaravalloti

Retrieved on: 
Saturday, May 14, 2022
Notice of Hearing, Notice, Person, Investment, Mutual Fund Dealers Association, Investor, Central Region, Scotland, Respondent, Online gambling, Financial adviser, 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 May 17, 2022, commencing at 10:00a.m.

Key Points: 
  • 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 May 17, 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.
  • If the Hearing Panel accepts the settlement agreement, then theproceeding will become open to the public and a copy of the decision of the Hearing Panel and the settlement agreement will be made available at www.mfda.ca .

MFDA Hearing Panel issues Reasons for Decision in the matter of Qanoot Subzwari

Retrieved on: 
Friday, May 13, 2022
Person, Mutual Fund Dealers Association, Hearing, Association, Investor, Central Region, Scotland, Respondent, Reason (argument), Decision, Online gambling, Financial adviser

TORONTO, May 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 May 10, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon March 7, 2022, in the matter of Qanoot Subzwari(the "Respondent").

Key Points: 
  • TORONTO, May 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 May 10, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon March 7, 2022, in the matter of Qanoot Subzwari(the "Respondent").
  • In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent.
  • During the period described in the Reasons for Decision, the Respondent carried on business in Milton, Ontario.
  • 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 Antony Chau

Retrieved on: 
Friday, May 13, 2022
Person, Mutual Fund Dealers Association, Hearing, Association, Investor, Central Region, Scotland, Chief compliance officer, Respondent, Ultimate, Reason (argument), Decision, Online gambling, Financial adviser

TORONTO, ON, May 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 May 11, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 26, 2022, in the matter of Antony Kin San Chau(the "Respondent").

Key Points: 
  • TORONTO, ON, May 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 May 11, 2022 ("Reasons for Decision"), in connection with a settlement hearing held electronically by videoconference in Toronto, Ontarioon April 26, 2022, in the matter of Antony Kin San Chau(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.

MFDA issues Notice of Settlement Hearing in respect of Maurice Mailloux

Retrieved on: 
Tuesday, May 10, 2022
Hearing, Settlement, Central Region, Scotland, Review, Belle River, Respondent, Maurice, Mutual Fund Dealers Association, Person, Investor, Online gambling, Financial adviser

The settlement agreement will be between Staff of the MFDA and Maurice Gary Mailloux (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 Maurice Gary Mailloux (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 Belle River, Ontario area.

MFDA announces settlement hearing to take place in the matter of Erich Juillet

Retrieved on: 
Tuesday, May 10, 2022
Notice of Hearing, Central Region, Scotland, Notice, Respondent, Mutual Fund Dealers Association, Person, Investor, Property management, Online gambling, Cryptocurrency, Financial adviser, 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 June 28, 2022, commencing at 10:00a.m.

Key Points: 
  • 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 June 28, 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.
  • A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca .

MFDA Hearing Panel accepts settlement agreement with Rakesh Garg

Retrieved on: 
Thursday, May 5, 2022
Central Region, Scotland, Settlement, Indian Residential Schools Settlement Agreement, Respondent, Mutual Fund Dealers Association, Hearing, Person, Investor, Online gambling, Financial adviser

TORONTO, May 5, 2022 /CNW/ - A settlement hearing in the matter of Rakesh Garg (the "Respondent") was held electronically by videoconference on May 4, 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, May 5, 2022 /CNW/ - A settlement hearing in the matter of Rakesh Garg (the "Respondent") was held electronically by videoconference on May 4, 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 Mississauga, 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 Antony Chau

Retrieved on: 
Thursday, April 28, 2022
Chief compliance officer, Fine, Association, Settlement, Central Region, Scotland, Investor, Respondent, Order, Person, Indian Residential Schools Settlement Agreement, Ultimate, Mutual Fund Dealers Association, Compliance, Hearing, Online gambling, Financial adviser

TORONTO, April 28, 2022 /CNW/ -A settlement hearing in the matter of Antony Kin San Chau (the "Respondent") was held electronically by videoconference on April 26, 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, April 28, 2022 /CNW/ -A settlement hearing in the matter of Antony Kin San Chau (the "Respondent") was held electronically by videoconference on April 26, 2022 in Toronto, Ontario before a three-member Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA").
  • 201406, contrary to the terms of the Order and MFDA Rules 2.5.2 and 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 conducted business in the Toronto, Ontario area.