Regulatory

MFDA issues reasons for decision against Smith

A hearing panel of the MFDA’s Central Regional Council has issued Reasons for Decision in connection with the disciplinary hearing held in Toronto, Ontario on February 8, 2011 in the matter of Stephen Arnold Smith. Click here to read a copy of the hearing panel’s Reasons for Decision.

By Staff |March 30, 2011

1 min read

Regulators team up on The List

Canada’s regulators have teamed up to launch an expanded list of advisors who have faced disciplinary actions. The CSA has hosted a Disciplined Persons List on its website since 2009, tracking discipline meted out by provincial securities regulators. The list has now been expanded to include advisors disciplined by IIROC or the MFDA, dating back […]

By Staff |March 29, 2011

1 min read

Ontario Court of Appeal refuses Berry appeal

The Court of Appeal for Ontario has refused a motion for leave to appeal made by David Berry with regard to a recent decision of the Ontario Superior Court of Justice Divisional Court. The Court also awarded $750 in costs to Market Regulation Services (RS) Inc. (now part of IIROC). In November of 2010, the […]

By Staff |March 24, 2011

2 min read

MFDA issues reasons in three cases

In the matter of Luigi Ciardullo A hearing panel of the Central Regional Council of the MFDA has issued its reasons for decision in connection with the settlement hearing held in Toronto, Ontario on November 26, 2010 in the matter of Luigi Francesco Ciardullo. Read a copy of the hearing panel’s reasons for decision. In […]

By Staff |March 22, 2011

1 min read