MFDA issues reasons for decisions in three cases

The Mutual Funds Dealers Association has released Reasons for Decision against three registrants for infractions ranging from misappropriation of funds, to selling products not approved by the dealer.

Reasons for Decision in the Matter of Nathan Disenhouse

A Hearing Panel of the MFDA’s Central Regional Council has issued its Reasons for Decision in connection with the settlement hearing held in Toronto, Ontario on June 18, 2010 in the matter of Nathan Hersh Disenhouse.

To read the Reasons for Decision, click here.

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Reasons for Decision in the Matter of Terry Sampson

A Hearing Panel of the MFDA’s Prairie Regional Council has issued its Reasons for Decision in connection with the settlement hearing held in Edmonton, Alberta on July 9, 2010 in the matter of Terry Lynn Sampson.

To read the Reasons for Decision, click here.

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Reasons for Decision in the Matter of Kent Westgard

A Hearing Panel of the MFDA’s Prairie Regional Council has issued its Reasons for Decision in connection with the disciplinary hearing held in Calgary, Alberta on April 29, 2010 in the matter of Kent Owen Westgard.

To read the Reasons for Decision, click here

(08/10/10)