Barry Adams
(Case No. 200909) |
Saint John |
| Oct. 22/09 |
News Release (MFDA concludes proceeding against Barry L. Adams) |
| Oct. 01/09 |
News Release (MFDA Announces Location of Barry L. Adams Hearing) |
| June 15/09 |
Order |
| June 12/09 |
News Release (MFDA Sets Date for Barry L. Adams Hearing in Saint John, New Brunswick) |
| Apr. 20/09 |
News Release (MFDA issues Notice of Hearing regarding Barry L. Adams) |
| Apr. 06/09 |
Notice of Hearing |
|
Altimum Mutuals Inc.
(Case No. 200711) |
Toronto |
|
Robin Andersen
(Case No. 200508) |
Edmonton |
| June 23/06 |
Bulletin #0201-E (MFDA imposes lifetime ban and $200,000 fine on Robin Andersen) |
| Feb. 28/06 |
Order |
| Feb. 01/06 |
News Release (MFDA Hearing Panel Issues Decision and Reasons Respecting Robin Andersen Disciplinary Hearing) |
| Jan. 30/06 |
Decision and Reasons |
| Nov. 25/05 |
News Release (MFDA Prairie Hearing in the Matter of Robin Andersen) |
| Aug. 17/05 |
News Release (MFDA Sets November 23, 2005 Date for Hearing in Edmonton, Alberta) |
| Aug. 16/05 |
Order |
| June 27/05 |
News Release (MFDA Issues Notice of Hearing regarding Robin Andersen) |
| June 21/05 |
Notice of Hearing |
|
|
Berkshire Investment Group Inc.
(Case No. 200719) |
Vancouver |
| Feb. 15/08 |
Case Summary (Hearing Panel Accepts Settlement with Berkshire Investment Group Inc.) |
| Jan. 07/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Berkshire Investment Group Inc. Settlement Hearing) |
| Jan. 03/08 |
Decision and Reasons |
| Dec. 13/07 |
News Release (MFDA Hearing Panel Approves Settlement Agreement with Berkshire Investment Group Inc. in relation to Ian Gregory Thow) |
| Dec. 13/07 |
Order |
| Nov. 29/07 |
News Release (MFDA issues Notice of Settlement Hearing regarding Berkshire Investment Group Inc.) |
| Nov. 29/07 |
Notice of Settlement Hearing |
| Nov. 26/07 |
Settlement Agreement |
| Oct. 22/07 |
News Release (MFDA Hearing Panel Rejects Settlement Agreement with Berkshire Investment Group Inc. in relation to Ian Gregory Thow ) |
| Oct. 4, 2007 |
News Release (MFDA issues Notice of Settlement Hearing regarding Berkshire Investment Group Inc.) |
| Oct. 4, 2007 |
Notice of Settlement Hearing |
|
Bick Financial Security Corporation
(Case No. 200925) |
Toronto |
|
Gerard and Mavis Brake
(Case No. 200804) |
Winnipeg |
| Apr. 03/09 |
Case Summary (Hearing Panel imposes Permanent Prohibition, Fines over $1,000,000 and Costs and on Gerard & Mavis Brake) |
| Feb. 27/09 |
News Release (MFDA Hearing Panel Issues Reasons for Decision with Respect to Penalty in the Gerard and Mavis Brake Disciplinary Hearing) |
| Feb. 26/09 |
Reasons for Decision |
| Feb. 19/09 |
News Release (MFDA Hearing Panel makes decision on penalty in the Matter of Gerard and Mavis Brake) |
| Feb. 19/09 |
Order |
| Jan. 7/09 |
News Release (MFDA Sets Date for Hearing with respect to penalty in the Matter of Gerard and Mavis Brake) |
| Dec. 9/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons with respect to misconduct in the Gerard and Mavis Brake Disciplinary Hearing) |
| Dec. 3/08 |
Decision and Reasons |
| Nov. 18/08 |
Order |
| Nov. 13/08 |
Order |
| Oct. 28/08 |
Order |
| Apr. 24/08 |
News Release (MFDA Sets Date for Gerard & Mavis Brake Hearing in Winnipeg, Manitoba) |
| Apr. 23/08 |
Order |
| Mar. 20/08 |
News Release (MFDA issues Notice of Hearing regarding Gerard and Mavis Brake) |
| Mar. 12/08 |
Notice of Hearing |
|
Kenneth Roy Breckenridge
(Case No. 200718) |
Toronto |
| Jan. 03/08 |
Case Summary (Hearing Panel imposes lifetime ban and $350,000 fine on Kenneth Roy Breckenridge) |
| Nov. 16/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Kenneth Roy Breckenridge Disciplinary Hearing) |
| Nov. 14/07 |
Order |
| Nov. 14/07 |
Decision and Reasons |
| Oct. 31/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Kenneth Breckenridge) |
| Sept. 05/07 |
Order |
| Sept. 05/07 |
News Release (MFDA Sets Date for Kenneth Breckenridge Hearing in Toronto, Ontario) |
| June 27/07 |
News Release (MFDA issues Notice of Hearing regarding Kenneth Roy Breckenridge) |
| June 22/07 |
Notice of Hearing |
|
Robert Brick
(Case No. 200705) |
Toronto |
| Dec. 28/07 |
Case Summary (MFDA imposes lifetime ban and $269,000 fine on Robert Brick) |
| Nov. 1/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Robert Brick Disciplinary Hearing) |
| Oct. 29/07 |
Decision and Reasons |
| June 28/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Robert Brick) |
| June 28/07 |
Order |
| June 4/07 |
Order |
| May 15/07 |
News Release (MFDA Sets Date for Robert Brick Hearing in Toronto, Ontario) |
| May 01/07 |
News Release (MFDA issues Notice of Hearing regarding Robert Brick) |
| Mar. 28/07 |
Notice of Hearing |
|
Raymond Brown-John
(Case No. 200502) |
Vancouver |
| Sept. 29/05 |
Bulletin #0165-E (MFDA imposes lifetime ban and fines totaling $185,000 on Raymond Brown-John) |
| Aug 23/05 |
News Release (MFDA Hearing Panel Issues Decision and Reasons respecting Raymond Brown-John Disciplinary Hearing) |
| Aug. 22/05 |
Order |
| June 27/05 |
Decision and Reasons |
| June 9/05 |
News Release (MFDA Pacific Hearing Panel Concludes Brown-John Hearing) |
| Apr. 25/05 |
Order |
| Apr. 25/05 |
News Release (MFDA Pacific Regional Council Hearing Panel Sets Date of June 9, 2005 for Hearing in Vancouver) |
| Apr. 5/05 |
News Release (MFDA Regional Council Hearing Panel Issues Written Order in Raymond Brown-John Proceeding) |
| Apr. 1/05 |
News Release (MFDA Pacific Regional Council Hearing Panel Adjourns Raymond Brown-John Hearing to April 25, 2005) |
| Mar. 31/05 |
Order |
| Mar. 2/05 |
Notice to Public |
| Feb. 2/05 |
News Release (MFDA Issues Notice of Hearing regarding Raymond Brown-John) |
| Jan. 21/05 |
Notice of Hearing |
|
|
Brian Somerset Campbell
(Case No. 200805) |
Vancouver |
| July 28/08 |
Case Summary (Hearing Panel imposes lifetime ban and $250,000 in fines on Brian Somerset Campbell) |
| June 27/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Brian Somerset Cambell Disciplinary Hearing) |
| June 26/08 |
Decision and Reasons |
| June 17/08 |
News Release (MFDA Pacific Regional Council Hearing Panel Makes Findings Against Brian Somerset Campbell) |
| June 16/08 |
Order |
| Apr. 22/08 |
News Release (MFDA Sets Date for Brian Somerset Campbell Hearing in Vancouver, British Columbia) |
| Apr. 22/08 |
Order |
| Mar. 26/08 |
News Release (MFDA issues Notice of Hearing regarding Brian Somerset Campbell) |
| Mar. 05/08 |
Notice of Hearing |
|
Lip Fee Chan
(Case No. 200607) |
Toronto |
| Mar. 30/07 |
Case Summary (MFDA imposes lifetime ban and $150,000 fine on Lip Fee Chan (also known as Phillip Chan) |
| Mar. 02/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Lip Fee Chan (also known as Phillip Chan) Disciplinary Hearing) |
| Feb. 28/07 |
Decision and Reasons |
| Jan. 18/07 |
News Release (MFDA Ontario Hearing Panel Makes Findings Against Lip Fee Chan (also known as Phillip Chan) |
| Jan. 17/07 |
Order |
| Sept. 26/06 |
News Release (MFDA Sets Date for Lip Fee Chan Hearing in Toronto, Ontario) |
| July 24/06 |
News Release (MFDA issues Notice of Hearing regarding Lip Fee Chan) |
| July 19/06 |
Notice of Hearing |
|
Donald Kenneth Coatsworth
(Case No. 200608) |
Toronto |
| May 03/07 |
Case Summary (MFDA imposes lifetime ban and $60,000 fine on Donald Kenneth Coatsworth) |
| Mar. 20/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Donald Kenneth Coatsworth Disciplinary Hearing) |
| Mar. 07/07 |
Decision and Reasons |
| Feb. 2/07 |
Order |
| Jan. 31/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Donald Kenneth Coatsworth) |
| Dec. 14/06 |
Order |
| Dec. 13/06 |
News Release (MFDA Sets Date for Donald Kenneth Coatsworth Hearing in Toronto, Ontario) |
| Dec. 07/06 |
News Release (MFDA Announces Change in Venue for the First Appearance in the Matter of Donald Kenneth Coatsworth) |
| Nov. 14/06 |
News Release (MFDA issues Notice of Hearing regarding Donald Kenneth Coatsworth) |
| Nov. 1/06 |
Notice of Hearing |
|
Barry James Coleman
(Case No. 200513) |
Moncton |
| Dec. 05/06 |
Case Summary (MFDA imposes lifetime ban and $25,000 fine on Barry James Coleman) |
| Sep 18/06 |
News Release (MFDA Hearing Panel Issues Decision and Reasons Respecting Barry James Coleman Disciplinary Hearing) |
| July 13/06 |
Decision and Reasons |
| July 13/06 |
Order |
| May 30/06 |
News Release (MFDA Atlantic Hearing Panel Makes Findings Aginst Barry James Coleman) |
| Mar. 28/06 |
News Release (MFDA Sets Date for Barry James Coleman Hearing in Moncton, New Brunswick) |
| Feb. 08/06 |
News Release (MFDA Sets Date for Barry James Coleman Hearing in Moncton, New Brunswick) |
| Jan. 03/06 |
News Release (MFDA Issues Notice of Hearing regarding Barry James Coleman) |
| Dec. 19/05 |
Notice of Hearing |
|
Donald Kent Coleman
(Case No. 200511) |
Toronto |
| July 05/06 |
Bulletin #0204-E (MFDA imposes lifetime ban and $10,000 fine on Donald Kent Coleman) |
| Apr. 17/06 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Donald Kent Coleman Disciplinary Hearing) |
| Apr. 10/06 |
Decision and Reasons |
| Apr. 10/06 |
Order |
| Mar. 21/06 |
News Release (MDA Ontario Hearing Panel Makes Findings Against Donald Kent Coleman) |
| Jan. 26/06 |
News Release (MFDA Sets Date for Donald Kent Coleman Hearing in Toronto, Ontario) |
| Dec. 21/05 |
News Release (MFDA Issues Notice of Hearing regarding Donald Kent Coleman) |
| Dec. 01/05 |
Notice of Hearing |
|
Earl Crackower
(Case No. 200506) |
Toronto |
|
Donald James Cunningham
(Case No. 200906) |
Toronto |
|
|
Desjardins Financial Security Investments Inc.
(Case No. 200908) |
Toronto |
| May 21/09 |
News Release (MFDA Hearing Panel Issues Reasons for Decision with Respect to Desjardins Financial Security Investments Inc. Settlement Hearing) |
| May 11/09 |
Reasons for Decision |
| May 06/09 |
News Release (MFDA Hearing Panel approves Settlement Agreement with Desjardins Financial Security Investments Inc.) |
| May 06/09 |
Order |
| Apr. 08/09 |
Settlement Agreement |
| Apr. 06/09 |
News Release (MFDA issues Notice of Settlement Hearing regarding Desjardins Financial Security Investments Inc. (formerly known as Optifund Investments Inc.)) |
| Apr. 06/09 |
Notice of Settlement Hearing |
|
De Thomas Financial Corp.
(Case No. 200921) |
Toronto |
|
Purisima Dy
(Case No. 200830) |
Toronto |
| Feb. 03/10 |
Case Summary (Hearing Panel imposes permanent prohibition and $50,000 fine on Purisima Dy) |
| Nov. 20/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to Purisima Dy Hearing) |
| Nov. 17/09 |
Reasons for Decision |
| Nov. 10/09 |
News Release (MFDA Hearing Panel makes findings against Purisima Dy) |
| Nov. 09/09 |
Order |
| May 20/09 |
News Release (MFDA Reschedules Hearing in the Matter of Purisima Dy) |
| May 20/09 |
Order |
| Jan. 21/09 |
News Release (MFDA Reschedules Hearing in the Matter of Purisima Dy) |
| Jan. 19/09 |
News Release (MFDA Sets Date for Purisima Dy Hearing in Toronto, Ontario) |
| Jan. 19/09 |
Order |
| Oct. 28/08 |
News Release (MFDA issues Notice of Hearing regarding Purisima Dy) |
| Oct. 21/08 |
Notice of Hearing |
|
|
Evangeline Securities Limited
(Case No. 200816) |
Halifax |
|
|
Farm Mutual Financial Services Inc.
(Case No. 200812) |
Toronto |
|
Ronald Freynet
(Case No. 200704) |
Winnipeg |
|
|
William T. Gillick
(Case No. 200910) |
Toronto |
|
Dale Michael Graveline
(Case No. 200606) |
Toronto |
| Jan. 24/07 |
Case Summary (MFDA imposes lifetime ban and $100,000 fine on Dale Michael Graveline) |
| Dec. 20/06 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Dale Michael Graveline Disciplinary Hearing) |
| Dec. 20/06 |
Decision and Reasons |
| Dec. 20/06 |
Order |
| Nov 27/06 |
Hearings Update (MFDA Hearing Panel Reserves Judgement in Dale Michael Graveline Hearing) |
| Nov 14/06 |
News Release (MFDA Central Regional Council Hearing Panel Adjourns Dale Michael Graveline Hearing to November 27, 2006) |
| Sep. 13/06 |
News Release (MFDA Sets Date for Dale Michael Graveline Hearing in Toronto, Ontario) |
| July 18/06 |
News Release (MFDA issues Notice of Hearing regarding Dale Michael Graveline) |
| July 06/06 |
Notice of Hearing |
|
Glenn Murray Greyeyes
(Case No. 200510) |
Calgary |
| Dec. 05/06 |
Case Summary (MFDA imposes lifetime ban and $225,000 fine on Glenn Murray Greyeyes) |
| July 10/06 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Glenn Murray Greyeyes Disciplinary Hearing) |
| Jun. 05/06 |
Decision and Reasons |
| Jun. 05/06 |
Order |
| Apr. 11/06 |
News Release (MFDA Prairie Hearing Panel Makes Findings Against Glenn Murray Greyeyes) |
| Feb. 10/06 |
News Release (MFDA Sets Date for Glenn Murray Greyeyes Hearing in Edmonton, Alberta) |
| Jan. 12/06 |
News Release (MFDA Prairie Regional Council Hearing Panel Adjourns Glenn Murray Greyeyes Hearing to February 10, 2006) |
| Nov. 17/05 |
News Release (MFDA Issues Notice of Hearing regarding Glenn Murray Greyeyes) |
| Nov. 4/05 |
Notice of Hearing |
|
Cory E. Griffiths
(Case No. 200916) |
Calgary |
|
Jean-Pierre Groulx
(Case No. 200609) |
Toronto |
| June 12/07 |
Case Summary (MFDA imposes lifetime ban on Jean-Pierre Groulx for misconduct relating to his activities as an insurance agent) |
| May 11/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Jean-Pierre Groulx Disciplinary Hearing) |
| May 09/07 |
Decision and Reasons |
| Apr. 03/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Jean-Pierre Groulx) |
| Apr. 03/07 |
Order |
| Jan. 15/07 |
Order |
| Jan. 15/07 |
News Release (MFDA Sets Date for Jean-Pierre Groulx Hearing in Toronto, Ontairo) |
| Dec. 05/06 |
News Release (MFDA issues Notice of Hearing regarding Jean-Pierre Groulx) |
| Nov. 28/06 |
Notice of Hearing |
|
|
Stephan Headley
(Case No. 200509) |
Toronto |
| June 23/06 |
Bulletin #0200-E (MFDA imposes lifetime ban and $150,000 fine on Stephan Headley) |
| Feb. 22/06 |
News Release (MFDA Hearing Panel Issues Decision and Reasons respecting Stephan Headley Disciplinary Hearing) |
| Feb. 21/06 |
Order |
| Feb. 21/06 |
Decision and Reasons |
| Dec. 14/05 |
News Release (MFDA Ontario Panel Makes Findings Against Stephan Headley) |
| Oct. 26/05 |
Order |
| Oct. 26/05 |
News Release (MFDA Sets Date for Stephan Headley Hearing in Toronto, Ontario) |
| Oct. 04/05 |
News Release (MFDA Issues Notice of Hearing regarding Stephan Headley) |
| Sept. 8/05 |
Notice of Hearing |
|
Lorne Henry
(Case No. 200702) |
Toronto |
| July 17/07 |
Case Summary (MFDA imposes lifetime ban and $350,000 fine on Lorne Henry) |
| June 8/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Lorne Henry Disciplinary Hearing) |
| May 29/07 |
Decision and Reasons |
| May 11/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Lorne Henry) |
| May 11/07 |
Order |
| Apr. 16/07 |
News Release (MFDA Sets Date for Lorne Henry Hearing in Toronto, Ontario) |
| Mar. 13/07 |
News Release (MFDA issues Notice of Hearing regarding Lorne Henry) |
| Mar. 06/07 |
Notice of Hearing |
|
Hill & Crawford Investment Management Group Ltd. and Albert Rodney Hill
(Case No. 200834) |
Toronto |
| June 26/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision in the Matter of Hill & Crawford Investment Management Group Ltd. and Albert Rodney Hill) |
| June 23/09 |
Reasons for Decision |
| June 10/09 |
News Release (MFDA Hearing Panel Makes Findings Against Hill & Crawford Investment Management Group Ltd. and Albert R. Hill) |
| June 10/09 |
Order |
| June 01/09 |
News Release (MFDA Amends Notice of Hearing in the Matter of Hill & Crawford Investment Management Group Ltd. and Albert R. Hill ) |
| May 15/09 |
Amended Notice of Hearing |
| May 15/09 |
Order |
| Apr. 28/09 |
Bulletin #0371-M (Transfer of Hill & Crawford Investment Management Group Ltd. Client Accounts to Altimum Mutuals Inc.) |
| Apr. 22/09 |
News Release (MFDA Hearing Panel Suspends Hill & Crawford Investment Management Group Ltd. and Albert Rodney Hill) |
| Apr. 22/09 |
Order |
| Apr. 20/09 |
News Release (MFDA issues Notice of Application regarding Hill & Crawford Investment Management Group Ltd. and Albert Rodney Hill) |
| Apr. 17/09 |
Notice of Application |
| Feb. 27/09 |
News Release (MFDA Sets Date for Hearing in the Matter of Hill & Crawford Investment Management Group Ltd. and Albert Hill) |
| Feb. 27/09 |
Order |
| Jan. 13/09 |
News Release (MFDA issues Notice of Hearing regarding Hill and Crawford Investment Management Group Ltd. and Albert Rodney Hill) |
| Dec. 31/08 |
Notice of Hearing |
|
Martin Horvath
(Case No. 200919) |
Toronto |
| Jan. 11/10 |
Case Summary (MFDA imposes lifetime ban and $20,000 fine on Martin Horvath) |
| Dec. 01/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to Martin Horvath disciplinary hearing) |
| Nov. 11/09 |
Reasons for Decision |
| Nov. 11/09 |
Order |
| Oct. 22/09 |
News Release (MFDA Hearing Panel makes findings against Martin Horvath) |
| Sept. 23/09 |
News Release (MFDA Sets Date for Martin Horvath Hearing in Toronto, Ontario) |
| Sept. 23/09 |
Order |
| July 02/09 |
News Release (MFDA issues Notice of Hearing regarding Martin Horvath) |
| June 26/09 |
Notice of Hearing |
|
|
iForum Financial Services Inc.
(Case No. 200603) |
Toronto |
|
Investors Group Financial Services Inc.
(Case No. 200401) |
Toronto |
|
IOCT Financial Inc.
(Case No. 200902) |
Toronto |
|
IOCT Financial Inc. and Michelle Bolhuis
(Case No. 200903) |
Toronto |
| Jan. 21/10 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to IOCT Financial Inc. and Michelle Anne Bolhuis Settlement Hearing) |
| Dec. 9/09 |
Reasons for Decision |
| Nov. 27/09 |
News Release (MFDA Hearing Panel approves Settlement Agreement with IOCT Financial Inc. and Michelle Bolhuis) |
| Nov. 27/09 |
Order |
| Nov. 25/09 |
Settlement Agreement |
| Nov. 23/09 |
News Release (MFDA issues Notice of Settlement Hearing regarding IOCT Financial Inc. and Michelle Bolhuis) |
| Nov. 19/09 |
Notice of Settlement Hearing |
| Oct. 07/09 |
News Release (MFDA Reschedules Hearing on the Merits in the Matter of IOCT Financial Inc. and Michelle Bolhuis) |
| Oct. 07/09 |
Order |
| May 07/09 |
News Release (MFDA Sets Date for IOCT Financial Inc. and Michelle A. Bolhuis Hearing in Toronto, Ontario) |
| May 07/09 |
Order |
| Mar. 13/09 |
News Release (MFDA issues Notice of Hearing regarding IOCT Financial Inc. and Michelle Anne Bolhuis) |
| Mar. 05/09 |
Notice of Hearing |
|
IQON Financial Inc.
(Case No. 200713) |
Vancouver |
|
|
Rodney Jacobson
(Case No. 200712) |
Calgary |
|
|
Alden M. Kaley
(Case No. 200911) |
Fredericton |
|
Ben A. Kaley
(Case No. 200923) |
Fredericton |
|
Keybase Financial Group Inc. and Dax Sukhraj
(Case No. 200823) |
Toronto |
| June 09/09 |
Case Summary (Hearing Panel accepts Settlement Agreement with Keybase Financial Group Inc. and Dax Sukhraj ) |
| June 03/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to Keybase Financial Group Inc. and Dax Sukhraj Settlement Hearing) |
| June 02/09 |
Reasons for Decision (Keybase Financial Group Inc. and Dax Sukhraj) |
| Apr. 22/09 |
News Release (MFDA Hearing Panel Approves Settlement Agreement with Keybase Financial Group Inc. and Dax Sukhraj) |
| Apr. 22/09 |
Order |
| Apr. 21/09 |
Settlement Agreement |
| Apr. 20/09 |
News Release (MFDA Adjourns Hearing in the Matter of Keybase Financial Group Inc. and Dax Sukhraj) |
| Sept. 29/08 |
Order |
| Sept. 29/08 |
News Release (MFDA Sets Date for Keybase Financial Group Inc. and Dax Sukhraj Hearing in Toronto, Ontario) |
| July 29/08 |
News Release (MFDA issues Notice of Hearing regarding Keybase Financial Group Inc. and Dax Sukhraj
) |
| July 24/08 |
Notice of Hearing |
|
Mark Kricievski
(Case No. 200920) |
Toronto |
|
|
Peter Bruno Lamarche
(Case No. 200821) |
Toronto |
|
Wayne Larson
(Case No. 200826) |
Edmonton |
| Nov. 06/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to Wayne Larson Hearing) |
| Oct. 14/09 |
Reasons for Decision |
| Oct. 14/09 |
Order |
| Aug. 28/09 |
News Release (MFDA Hearing Panel makes findings against Wayne Larson) |
| July 21/09 |
News Release (MFDA Announces Location of Wayne Larson Hearing) |
| May 22/09 |
News Release (MFDA Sets Date for Wayne Larson Hearing in Edmonton, Alberta) |
| May 22/09 |
Order |
| Apr. 15/09 |
News Release (MFDA Hearing Panel Reschedules Next Appearance in the Matter of Wayne Larson) |
| Mar. 13/09 |
News Release (MFDA Hearing Panel Adjourns Wayne Larson Hearing on the Merits) |
| Jan. 22/09 |
News Release (MFDA Announces Location of Wayne Larson Hearing) |
| Oct. 29/08 |
News Release (MFDA Sets Date for Wayne Larson Hearing in Edmonton, Alberta) |
| Sept. 12/08 |
Order |
| Sept. 12/08 |
News Release (MFDA Hearing Panel Adjourns Wayne Larson First Appearance) |
| July 17/08 |
News Release (MFDA issues Notice of Hearing regarding Wayne Larson) |
| July 02/08 |
Notice of Hearing |
|
Joplin Leclair
(Case No. 200803) |
Toronto |
| Sept. 23/08 |
Case Summary (Hearing Panel imposes lifetime ban and $260,000 fine on Joplin Leclair) |
| Sept. 03/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Joplin Leclair) |
| Aug. 22/08 |
Order |
| Aug. 22/08 |
Decision and Reasons |
| June 10/08 |
News Release (MFDA Central Hearing Panel Concludes Joplin Leclair Hearing) |
| Mar. 31/08 |
News Release (MFDA Sets Date for Joplin Leclair Hearing in Toronto, Ontario) |
| Mar. 31/08 |
Order |
| Feb. 25/08 |
News Release (MFDA issues Notice of Hearing regarding Joplin Leclair) |
| Feb. 11/08 |
Notice of Hearing |
|
Robert Franklin Leer
(Case No. 200710) |
Vancouver |
| Nov. 23/07 |
Case Summary (Hearing Panel approves Settlement Agreement with Robert Franklin Leer) |
| Oct. 5/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Robert Franklin Leer Settlement Hearing) |
| Sept. 25/07 |
Decision and Reasons |
| July 19/07 |
News Release (MFDA Hearing Panel Approves Settlement Agreement with Robert Franklin Leer) |
| July 19/07 |
Order |
| July 17/07 |
Settlement Agreement |
| May 31/07 |
News Release (MFDA Sets Date for Robert Franklin Leer Hearing in Vancouver, British Columbia) |
| Apr. 23/07 |
News Release (MFDA issues Notice of Hearing regarding Robert Franklin Leer) |
| Apr. 17/07 |
Notice of Hearing |
|
Tony Tung-Yuan Lin
(Case No. 200810) |
Vancouver |
| Oct. 26/09 |
News Release (MFDA Staff applies for review of Hearing Panel decision in the matter of Tony Tung-Yuan Lin) |
| Sept. 14/09 |
News Release (MFDA Hearing Panel Issues Decision and Reasons with respect to Tony Tung-Yuan Lin) |
| Aug. 31/09 |
Decision and Reasons |
| Aug. 31/09 |
Order |
| May 27/09 |
News Release (MFDA Hearing Panel Reserves Judgment in Tony Tung-Yuan Lin Hearing) |
| Feb. 11/09 |
News Release (MFDA Adjourns Hearing on the Merits in the Matter of Tony Tung-Yuan Lin) |
| Dec. 29/08 |
News Release (MFDA Sets Date to Continue Hearing on the Merits in the Matter of Tony Tung-Yuan Lin) |
| Dec. 15/08 |
News Release (MFDA Adjourns Hearing on the Merits in the Matter of Tony Tung-Yuan Lin) |
| Oct. 20/08 |
News Release (MFDA Adjourns Hearing on Merits in the Matter of Tony Tung-Yuan Lin) |
| July 29/08 |
News Release (MFDA Sets Date for Tony Tung-Yuan Lin Hearing in Vancouver, British Columbia) |
| July 29/08 |
Order |
| May 30/08 |
News Release (MFDA issues Notice of Hearing regarding Tony Tung-Yuan Lin) |
| May 16/08 |
Notice of Hearing |
|
Paul Edward Lloyd
(Case No. 200720) |
Toronto |
| Apr. 02/08 |
Case Summary (Hearing Panel imposes lifetime ban and $45,000 fine on Paul Edward Lloyd) |
| Feb. 29/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Paul Edward Lloyd Disciplinary Hearing) |
| Feb. 26/08 |
Order |
| Feb. 26/08 |
Decision and Reasons |
| Feb. 12/08 |
News Release (MFDA Central Regional Council Hearing in the Matter of Paul Edward Lloyd) |
| Dec. 6/07 |
Order |
| Dec. 06/07 |
News Release (MFDA Sets Date for Paul Edward Lloyd Hearing in Toronto, Ontario) |
| Nov. 07/07 |
News Release (MFDA issues Notice of Hearing regarding Paul Edward Lloyd) |
| Oct. 26/07 |
Notice of Hearing |
|
Ernest Ming Chung Lo
(Case No. 200512) |
Toronto |
| July 5/06 |
Bulletin #0205-E (MFDA imposes lifetime ban and $35,000 fine on Ernest Lo) |
| Apr. 11/06 |
News Release (MFDA Hearing Panel Issues Decision and Reasons respecting Ernest Ming Chung Lo Disciplinary Hearing) |
| Apr. 03/06 |
Decision and Reasons |
| Apr. 03/06 |
Order |
| Mar. 03/06 |
News Release (MFDA Ontario Hearing Panel Makes Findings Against Ernest Ming Chung Lo) |
| Jan. 11/06 |
News Release (MFDA Sets Date for Ernest Ming Chung Lo Hearing in Toronto, Ontario) |
| Dec. 19/05 |
News Release (MFDA Issues Notice of Hearing regarding Ernest Ming Chung Lo) |
| Dec. 07/05 |
Notice of Hearing |
|
|
Michael J. MacDonald
(Case No. 200716) |
Toronto |
| Dec. 28/07 |
Case Summary (MFDA imposes lifetime ban and $50,000 fine on Michael J. MacDonald) |
| Nov. 14/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Michael MacDonald Disciplinary Hearing) |
| Nov. 12/07 |
Decision and Reasons |
| Nov. 07/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Michael MacDonald) |
| Nov. 07/07 |
Order |
| Aug. 30/07 |
Order |
| Aug. 30/07 |
News Release (MFDA Sets Date for Michael MacDonald Hearing in Toronto, Ontario) |
| July 03/07 |
News Release (MFDA issues Notice of Hearing regarding Michael MacDonald) |
| June 22/07 |
Notice of Hearing |
|
Douglas D. Malech
(Case No. 200904) |
Edmonton |
|
Manulife Securities Investment Services Inc.
(Case No. 200815) |
Toronto |
| Apr. 13/09 |
Case Summary (Hearing Panel Approves Settlement With Manulife Securities Investment Services Inc. ) |
| Feb. 05/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision respecting Settlement with Manulife Securities Investment Services Inc.) |
| Jan. 30/09 |
Decision and Reasons |
| Dec. 22/08 |
News Release (MFDA Hearing Panel Approves Settlement Agreement with Manulife Securities Investment Services Inc.) |
| Dec. 22/08 |
Order |
| Dec. 11/08 |
Settlement Agreement |
| Dec. 12/08 |
News Release (MFDA issues Notice of Settlement Hearing regarding Manulife Securities Investment Services Inc.) |
| Dec. 12/08 |
Notice of Settlement Hearing |
|
Anthony McPhail
(Case No. 200505) |
Toronto |
|
Merchant Capital Wealth Management Corporation
(Case No. 200701) |
Toronto |
|
John Moro
(Case No. 200714) |
Toronto |
|
Daniel L. E. Moyaert
(Case No. 200913) |
Toronto |
| Feb. 09/10 |
Case Summary (Hearing Panel Imposes Lifetime Ban, $50,000 Fine, and Costs of $5,000 on Daniel Leon Edward Moyaert) |
| Feb. 03/10 |
News Release (MFDA Hearing Panel issues Reasons for Decision in the Matter of Daniel Moyaert) |
| Jan. 29/10 |
Reasons for Decision |
| Jan. 19/10 |
News Release (MFDA Hearing Panel makes findings against Daniel Moyaert) |
| Jan. 19/10 |
Order |
| Aug. 24/09 |
News Release (MFDA Sets Date for Daniel L. E. Moyaert Hearing in Toronto, Ontario) |
| Aug. 24/09 |
Order |
| July 09/09 |
News Release (MFDA issues Notice of Hearing regarding Daniel L. E. Moyaert) |
| June 26/09 |
Notice of Hearing |
|
|
Leo Alexander O'Brien and David Baxter Snow
(Case No. 200809) |
St. John's |
| Dec. 15/08 |
Case Summary (Hearing Panel imposes lifetime ban and $60,000 fine on Leo Alexander O’Brien and $10,000 fine and a suspension from acting in a supervisory or compliance capacity with a Member on David Baxter Snow) |
| Nov. 27/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Leo A. O’Brien and David B. Snow Disciplinary Hearing) |
| Nov. 25/08 |
Order |
| Nov. 25/08 |
Decision and Reasons |
| Sept. 25/08 |
News Release (MFDA Atlantic Regional Hearing Council Hearing Panel Concludes Leo O’Brien and David Snow Hearing) |
| July 10/08 |
News Release (MFDA Sets Date for Leo Alexander O’Brien and David Baxter Snow Hearing in St. John’s, Newfoundland) |
| July 10/08 |
Order |
| May 28/08 |
News Release (MFDA issues Notice of Hearing regarding Leo Alexander O'Brien and David Baxter Snow) |
| May 15/08 |
Notice of Hearing |
|
Olympus United Group Inc.
(Case No. 200604) |
Toronto |
|
|
Robert Roy Parkinson
(Case No. 200501) |
Toronto |
|
Melvin Robert Penney
(Case No. 200831) |
Moncton |
|
Cory Piggott
(Case No. 200706) |
Toronto |
| Dec. 28/07 |
Case Summary (MFDA imposes lifetime ban and $114,000 fine on Cory Piggott) |
| Nov. 1/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Cory Piggott Disciplinary Hearing) |
| Oct. 29/07 |
Decision and Reasons |
| June 28/07 |
Order |
| June 28/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Cory Piggott) |
| June 1/07 |
Order |
| June 1/07 |
News Release (MFDA Sets Date for Cory Piggott Hearing in Toronto, Ontario) |
| May 15/07 |
News Release (MFDA Adjourns Cory Piggott First Appearance to June 1, 2007) |
| Apr. 13/07 |
News Release (MFDA issues Notice of Hearing regarding Cory Piggott) |
| Mar. 21/07 |
Notice of Hearing |
|
Portfolio Strategies Corporation
(Case No. 200807) |
Calgary |
| Nov. 19/08 |
Case Summary (Hearing Panel Approves Settlement With Portfolio Strategies Corporation) |
| Sept. 05/08 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Portfolio Strategies Corporation) |
| Aug. 06/08 |
Decision and Reasons |
| Jun. 20/08 |
News Release (MFDA Hearing Panel Approves Settlement Agreement with Portfolio Strategies Corporation) |
| Jun. 19/08 |
Order |
| Jun. 17/08 |
News Release (MFDA Reschedules Settlement Hearing regarding Portfolio Strategies Corporation) |
| May 13/08 |
News Release (MFDA Adjourns Settlement Hearing regarding Portfolio Strategies Corporation) |
| Apr. 29/08 |
News Release (MFDA issues Notice of Settlement Hearing regarding Portfolio Strategies Corporation) |
| Apr. 25/08 |
Notice of Settlement Hearing |
| Mar. 31/08 |
Settlement Agreement |
|
Professional Investment Services (Canada) Inc.
(File No. 200928) |
Calgary |
| Feb. 04/10 |
Case Summary (Hearing Panel Approves Settlement With Professional Investment Services (Canada) Inc.) |
| Nov. 04/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to Professional Investment Services (Canada) Inc. Settlement Hearing) |
| Oct. 28/09 |
Reasons for Decision |
| Oct. 09/09 |
News Release (MFDA Hearing Panel accepts Settlement Agreement with Professional Investment Services (Canada) Inc.) |
| Oct. 09/09 |
Order |
| Oct. 07/09 |
News Release (MFDA issues Notice of Settlement Hearing regarding Professional Investment Services (Canada) Inc.) |
| Oct. 06/09 |
Settlement Agreement |
| Oct. 06/09 |
Notice of Settlement Hearing |
|
Professional Investments (Kingston) Inc.
(Case No. 200836) |
Toronto |
| Apr. 27/09 |
Case Summary (Hearing Panel Approves Settlement With Professional Investments Kingston Inc.) |
| Apr. 22/09 |
News Release (MFDA Hearing Panel issues Reasons for Decision with respect to Professional Investments (Kingston) Inc. Settlement Hearing ) |
| Mar. 24/09 |
Reasons for Decision |
| Feb. 23/09 |
News Release (MFDA Hearing Panel Approves Settlement Agreement with Professional Investments (Kingston) Inc.) |
| Feb. 17/09 |
Order |
| Jan. 23/09 |
News Release (MFDA Hearing Panel Reserves Judgment in the Matter of Professional Investments (Kingston) Inc.) |
| Dec. 22/08 |
News Release (MFDA issues Notice of Settlement Hearing regarding Professional Investments (Kingston) Inc.) |
| Dec. 22/08 |
Notice of Settlement Hearing |
| Dec. 18/08 |
Settlement Agreement |
|
Ravi Puri
(Case No. 200715) |
Vancouver |
| Dec. 11/07 |
Case Summary (MFDA Hearing Panel imposes lifetime ban and $550,000 fine on Ravi Puri) |
| Nov. 07/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Ravi Puri Disciplinary Hearing) |
| Nov. 01/07 |
Decision and Reasons |
| Oct. 26/07 |
Order |
| Oct. 22/07 |
News Release (MFDA Pacific Regional Council Hearing Panel Makes Findings Against Ravi Puri) |
| Aug. 24/07 |
Order |
| Aug. 23/07 |
News Release (MFDA Sets Date for Ravi Puri Hearing in Vancouver, British Columbia) |
| July 06/07 |
News Release (MFDA issues Notice of Hearing regarding Ravi Puri) |
| June 28/07 |
Notice of Hearing |
|
|
John Quigley
(Case No. 200703) |
Toronto |
| Aug. 31/07 |
Case Summary (MFDA imposes permanent prohibition on John Quigley) |
| July 17/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting John Quigley) |
| July 12/07 |
Decision and Reasons |
| May 28/07 |
Order |
| May 28/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against John Quigley) |
| May 09/07 |
News Release (MFDA Sets Date for John Quigley Hearing in Toronto, Ontario) |
| Mar. 28/07 |
News Release (MFDA issues Notice of Hearing regarding John Quigley) |
| Mar. 21/07 |
Notice of Hearing |
|
|
Jawad Rathore
(Case No. 200504) |
Toronto |
|
Barry J. Raymer
(Case No. 200835) |
Toronto |
|
Mary Elizabeth Rygiel
(Case No. 200708) |
Toronto |
|
|
Shawn Sandink
(Case No. 200602) |
Toronto |
| Dec. 05/06 |
Case Summary (MFDA imposes lifetime ban and $35,000 fine on Shawn Sandink) |
| July 24/06 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Shawn Sandink Disciplinary Hearing) |
| July 19/06 |
Decision and Reasons |
| July 19/06 |
Order |
| June 23/06 |
News Release (MFDA Hearing Panel Makes Findings Against Shawn Sandlink) |
| June 6/06 |
News Release (MFDA Sets Date for Shawn Sandink Hearing in Toronto, Ontario) |
| May 01/06 |
News Release (MFDA Issues Notice of Hearing regarding Shawn Sandink) |
| April 19/06 |
Notice of Hearing |
|
Kerry Scharfenberg
(Case No. 200824) |
Edmonton |
| May 04/09 |
Case Summary (Hearing Panel imposes lifetime ban and $500,000 fine on Kerry Scharfenberg) |
| Mar. 10/09 |
News Release (MFDA Hearing Panel Issues Decision and Reasons with Respect to Kerry Scharfenberg) |
| Mar. 09/09 |
Decision and Reasons |
| Mar. 09/09 |
Order |
| Jan. 06/09 |
News Release (MFDA Hearing Panel Reserves Judgment in Kerry Scharfenberg Hearing) |
| Sep. 19/08 |
News Release (MFDA Sets Date for Kerry Scharfenberg Hearing in Edmonton, Alberta) |
| Sep. 19/08 |
Order |
| July 16/08 |
News Release (MFDA issues Notice of Hearing regarding Kerry Scharfenberg) |
| June 27/08 |
Notice of Hearing |
|
Bruce Patrick Schriver
(Case No. 200901 & 200918) |
Halifax |
|
Robert Smylski
(Case No. 200707) |
Calgary |
|
Douglas St. Arnault
(Case No. 200922) |
Vancouver |
|
Sterling Mutuals Inc.
(Case No. 200820) |
Toronto |
|
Scott Andrew Stevens
(Case No. 200514) |
Toronto |
| Dec. 05/06 |
Case Summary (MFDA imposes lifetime ban and $61,000 fine on Scott Andrew Stevens) |
| July 14/06 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Scott Andrew Stevens Disciplinary Hearing) |
| June 14/06 |
Decision and Reasons |
| June 14/06 |
Order |
| May 01/06 |
News Release (MFDA Ontario Hearing Panel Makes Findings against Scott Andrew Stevens) |
| Feb. 09/06 |
News Release (MFDA Sets Date for Scott Andrew Stevens Hearing in Toronto, Ontario) |
| Dec. 22/05 |
News Release (MFDA Issues Notice of Hearing regarding Scott Andrew Stevens) |
| Dec. 15/05 |
Notice of Hearing |
|
Patrick Sullivan
(Case No. 200802) |
Vancouver |
|
|
Tandem Wealth Management Inc.
(Case No. 200601) |
Halifax |
|
Arnold Tonnies
(Case No. 200503) |
Calgary |
|
|
Joseph Van Der Velden and Andrew Stokman
(Case No. 200507) |
Toronto |
| June 23/06 |
Bulletin #0202-E (MFDA imposes lifetime ban and fines on Joseph Van Der Velden and Andrew Stokman) |
| Dec. 7/05 |
News Release (MFDA Ontario Hearing Panel Makes Findings Against Joseph Van Der Velden and Andrew Stokman |
| Oct. 21/05 |
News Release (MFDA Ontario Hearing Panel Makes Findings Against Joseph Van Der Velden and Andrew Stokman) |
| Oct. 14/05 |
Order |
| Oct. 14/05. |
Decision and Reasons |
| June 2/05 |
Order |
| June 2/05 |
News Release (MFDA Sets October 14, 2005 Date for Hearing in Toronto, Ontario) |
| May 2/05 |
News Release (MFDA Issues Notice of Hearing) |
| April 21/05 |
Notice of Hearing |
|
|
Keith Oswald Wong
(Case No. 200709) |
Toronto |
| Aug. 24/07 |
Case Summary (MFDA imposes $7,000 fine and other penalties on Keith Oswald Wong) |
| July 03/07 |
News Release (MFDA Hearing Panel issues Decision and Reasons respecting Keith Oswald Wong Disciplinary Hearing) |
| June 20/07 |
Decision and Reasons |
| June 19/07 |
News Release (MFDA Central Regional Council Hearing Panel Makes Findings Against Keith Oswald Wong) |
| June 19/07 |
Order |
| May 28/07 |
Order |
| May 17/07 |
News Release (MFDA Sets Date for Keith Oswald Wong Hearing in Toronto, Ontario) |
| Apr. 11/07 |
News Release (MFDA issues Notice of Hearing regarding Keith Oswald Wong) |
| Apr. 02/07 |
Notice of Hearing |
|
|
Joseph Zollo
(Case No. 200610) |
Toronto |
|
