Enforcement Hearings - Hearings Schedule

MFDA disciplinary proceedings against a Member or Approved Person are conducted in public before an independent, impartial Hearing Panel.

In the Matter of Will Take Place Type Date and Time
Frank K. Shaw Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits July 28, 2015
10:00 A.M.
(Eastern)
Richard Dhur Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits July 28, 2015
10:00 A.M.
(Eastern)
Sherry McKenzie Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
- Via Teleconference -
First Appearance Aug. 5, 2015
10:00 A.M.
(Eastern)
Michael Prueter Hearing Panel of the MFDA Pacific Regional Council
Vancouver, British Columbia
- Via Teleconference -
Appearance Aug. 10, 2015
10:00 A.M.
(Pacific)
Jeffrey Cox Hearing Panel of the MFDA Prairie Regional Council
- Via Teleconference -
First Appearance

Aug. 11, 2015
10:00 A.M.
(Mountain)

Yan Feng Li Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Aug. 12, 2015
10:00 A.M.
(Eastern)
Mansu Ding Hearing Panel of the MFDA Central Regional Council
Toronto, Ontario
- Via Teleconference -
Appearance Aug. 14, 2015
10:0 A.M.
(Eastern)
Joseph Laurie Hearing Panel of the MFDA Atlantic Regional Council
Hearing Room, Nova Scotia Securities Commission,
5251 Duke Street, Suite 400, Duke Tower,
Halifax, Nova Scotia.
Hearing on the Merits Aug 17-21, 2015
10:00 A.M.
(Atlantic)
Gerard Mok Hearing Panel of the MFDA Central Regional Council
- Via Teleconference -
Appearance Aug. 20, 2015
10:00 A.M.
(Eastern)
John Wolfenden Hearing Panel of the MFDA Central Regional Council
- Via Teleconference -
First Appearance Aug. 25, 2015
10:00 A.M.
(Eastern)
David Ewart Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Settlement Hearing Aug. 27, 2015
9:30 A.M.
(Eastern)
James Neeson Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Aug. 27, 2015
11:00 A.M.
(Eastern)
Shi Jin (Michael) Li Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Settlement Hearing Aug. 27, 2015
1:00 P.M.
(Eastern)
Russell Chang Hearing Panel of the MFDA Pacific Regional Council
Hearing Room, Charest Reporting Inc.,
1650 – 885 West Georgia Street
Vancouver, British Columbia
Appearance Sept. 1-2, 2015
10:00 A.M.
(Pacific)
Bemelekot Tewahade Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Appearance Sept. 3, 2015
10:00 A.M.
(Eastern)
Michael Guglielmi Hearing Panel of the MFDA Central Regional Council
Toronto, Ontario
- Via Teleconference -
Appearance Sept. 10, 2015
9:30 A.M.
(Eastern)
Abner Hufanda Hearing Panel of the MFDA Pacific Regional Council
Vancouver, British Columbia
- Venue to be Announced -
Hearing on the Merits Sept. 10-11, 2015
10:00 A.M.
(Pacific)
Charanjit Aul Hearing Panel of the MFDA Pacific Regional Council
- Venue to be Announced -
Hearing on the Merits Sept. 17-18, 2015
10:00 A.M.
(Pacific)
Michael Harrigan Hearing Panel of the MFDA Atlantic Regional Council
Hearing Room, Nova Scotia Securities Commission,
5251 Duke Street, Suite 400, Duke Tower,
Halifax, Nova Scotia.
Hearing on the Merits Sept. 21-25, 2015
10:00 A.M.
(Atlantic)
Gerald Daniel Rumball Hearing Panel of the MFDA Central Regional Council
- Via Teleconference -
First Appearance Sept. 21, 2015
9:30 A.M.
(Eastern)
Conrad Eagan Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Sept. 21-25, 2015
10:00 A.M.
(Eastern)
Neil Rutley Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Settlement Hearing Sept. 24, 2015
10:00 a.m.
(Eastern)
Michael Harrigan Hearing Panel of the MFDA Atlantic Regional Council
Hearing Room, Nova Scotia Securities Commission,
5251 Duke Street, Suite 400, Duke Tower,
Halifax, Nova Scotia.
Hearing on the Merits Sept. 28 – Oct. 2, 2015
10:00 A.M.
(Atlantic)
Michael Raymond McBurney Hearing Panel of the MFDA Central Regional Council
- Via Teleconference -
First Appearance Sept. 28, 2015
10:00 A.M.
(Eastern)
James Howard Munro Stuart Hearing Panel of the MFDA Central Regional Council
- Via Teleconference -
First Appearance Sept. 28, 2015
10:00 A.M.
(Eastern)
Satya Agarwal Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Sept. 29-30, 2015
10:00 A.M.
(Eastern)
W. H. Stuart Mutuals Ltd., Marilyn Dianne Stuart and Walter Howard Stuart Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
- Via Teleconference -
Appearance Oct. 6, 2015
4:00 P.M.
(Eastern)
Craig MacDonald

Hearing Panel of the MFDA Prairie Regional Council
Winnipeg, Manitoba
- Location to be Announced -

Hearing on the Merits Oct. 7 2015
10:00 A.M.
(Central)
Bemelekot Tewahade Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Oct. 19-21, 2015
10:00 A.M.
(Eastern)
Stephen Cheung

Hearing Panel of the MFDA Pacific Regional Council
Vancouver, British Columbia
- Venue to be Announced -

Hearing on the Merits Oct. 26, 2015
10:00 A.M.
(Pacific)
Grant Manning Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Oct. 27-28, 2015
10:00 A.M.
(Eastern)
Cho Shan Yeung

Hearing Panel of the MFDA Pacific Regional Council
Vancouver, British Columbia
- Venue to be Announced -

Hearing on the Merits Oct. 28, 2015
10:00 A.M.
(Pacific)
Tarak Shah Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Settlement Hearing Oct. 29, 2015
10:00 A.M.
(Eastern)
Joseph Laurie Hearing Panel of the MFDA Atlantic Regional Council
Hearing Room, Nova Scotia Securities Commission,
5251 Duke Street, Suite 400, Duke Tower,
Halifax, Nova Scotia.
Hearing on the Merits Nov. 2-6, 2015
10:00 A.M.
(Atlantic)
Joseph Laurie Hearing Panel of the MFDA Atlantic Regional Council
Hearing Room, Nova Scotia Securities Commission,
5251 Duke Street, Suite 400, Duke Tower,
Halifax, Nova Scotia.
Hearing on the Merits Nov. 9-10, 2015
10:00 A.M.
(Atlantic)
Joseph Laurie Hearing Panel of the MFDA Atlantic Regional Council
Hearing Room, Nova Scotia Securities Commission,
5251 Duke Street, Suite 400, Duke Tower,
Halifax, Nova Scotia.
Hearing on the Merits Nov.12-13, 2015
10:00 A.M.
(Atlantic)
Edward Okopny Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Nov. 30, 2015
10:00 A.M.
(Eastern)
Clinton Wayne Hearing Panel of the MFDA Central Regional Council
Hearing Room, Suite 1000
121 King Street West
Toronto, Ontario
Hearing on the Merits Dec. 15, 2015
10:00 A.M.
(Eastern)
Jack Oosterveld Hearing Panel of the MFDA Prairie Regional Council
Edmonton, Alberta
- Venue to be Announced -
Hearing on the Merits Feb. 4-5, 2016
10:00 A.M.
(Mountain)

Accessibility Policy | Disclaimer and Privacy | Print this page
Copyright © 2007 Mutual Fund Dealers Association of Canada. All rights reserved.