MFDA

Rep fined $10,000 for off-book sales Fallback Image Decorative pattern

Industry

Rep fined $10,000 for off-book sales

A settlement hearing in the matter of Stanley Wayne Parke was held in Calgary, Alberta before a hearing panel of the MFDA's Prairie Regional Council.

By Staff |May 4, 2012

1 min read

Planner banned for online stocks trades Fallback Image Decorative pattern

Industry

Planner banned for online stocks trades

A disciplinary hearing in the matter of Bill Hsueh was held Thursday in Toronto before a three-person hearing panel of the MFDA's Central Regional Council.

By Staff |April 27, 2012

2 min read

Advisor banned for outside activities Fallback Image Decorative pattern

Industry

Advisor banned for outside activities

A disciplinary hearing in the matter of Bayant S. Dhindsa was held this week in Vancouver, British Columbia before a three-person hearing panel of the MFDA's Pacific Regional Council.

By Staff |April 27, 2012

1 min read

Compliance failures cost firm $25,000 Fallback Image Decorative pattern

Industry

Compliance failures cost firm $25,000

In its decision and reasons dated April 5, 2012, the hearing panel accepted the settlement agreement, and IAIG has paid a $25,000 fine and $2,500 in costs.

By Staff |April 12, 2012

2 min read