MFDA

MFDA issues reasons against Partners In Planning Fallback Image Decorative pattern

Industry

MFDA issues reasons against Partners In Planning

A hearing panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada has issued its reasons for decision in connection with the Settlement Hearing held in Regina, Saskatchewan on November 25, 2010 in the matter of Partners In Planning Financial Services Ltd. A copy of the reasons for decision is available […]

By Staff |February 24, 2011

1 min read

MFDA finds against Tadeusz Bytnar Fallback Image Decorative pattern

Industry

MFDA finds against Tadeusz Bytnar

A disciplinary hearing in the matter of Tadeusz (“Ted”) Bytnar (the “Respondent”) concluded yesterday in Calgary, Alberta before a three-person Hearing Panel of the MFDA’s Prairie Regional Council. 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: In […]

By Staff |February 14, 2011

2 min read

MFDA makes findings against Smith Fallback Image Decorative pattern

Industry

MFDA makes findings against Smith

A disciplinary hearing in the matter of Stephen Arnold Smith was held yesterday in Toronto, Ontario before a three-person Hearing Panel of the MFDA’s Central Regional Council. Prior to hearing MFDA Staff’s submissions on the merits, the Hearing Panel granted a motion by Staff to amend the Notice of Hearing. A copy of the Amended […]

By Staff |February 9, 2011

1 min read

MFDA to hear Laurier Capital Planning settlement Fallback Image Decorative pattern

Industry

MFDA to hear Laurier Capital Planning settlement

The MFDA today announced that it has issued a notice of settlement hearing regarding the presentation, review and consideration of a proposed settlement agreement by a hearing panel of the MFDA’s Prairie Regional Council. The settlement agreement will be between MFDA staff and Laurier Capital Planning Inc. (the “Respondent”) and involves matters for which the […]

By Staff |January 31, 2011

1 min read