MFDA

MFDA issues reasons in matter of Chris McAuley

A hearing panel of the MFDA’s Central Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Toronto, Ontario on March 23, 2011 in the matter of Chris. M. McAuley. Read a copy of the Reasons for Decision.

By Staff |June 3, 2011

1 min read

MFDA makes findings against Mark Lindsay

The MFDA commenced a disciplinary proceeding in respect of Mark Lindsay by notice of hearing dated February 23, 2011. After hearing submissions from staff of the MFDA, the hearing panel found that the following allegations in the notice of hearing had been established: Allegation #1: Between approximately October 2007 and December 2008, the respondent failed […]

By Staff |June 3, 2011

2 min read

MFDA settles with Laurier Capital Planning

A settlement hearing in the matter of Laurier Capital Planning Inc. was held in Calgary, Alberta before a hearing panel of the MFDA’s Prairie Regional Council. After hearing submissions from counsel, the hearing panel accepted the settlement agreement between MFDA staff and the respondent, as a consequence of which the respondent has paid a fine […]

By Staff |April 29, 2011

1 min read

MFDA settles with Gillian Gibson-Sargeant

A settlement hearing in the matter of Gillian Ann Gibson-Sargeant was held today in Toronto, Ontario before a hearing panel of the MFDA’s Central Regional Council. The hearing panel accepted the settlement agreement between MFDA staff and the respondent, as a consequence of which the respondent has been permanently prohibited from conducting securities related business […]

By Staff |April 21, 2011

1 min read