MFDA issues reasons on four cases

The Mutual Fund Dealers Association has released reasons for decisions in four cases, involving allegations of churning DSC funds, selling outside of the dealer, conducting outside business activities, and borrowing from clients.

Below are some cautionary tales of things you should avoid doing.

MFDA Hearing Panel issues Reasons for Decision (Misconduct) in the Matter of Gregory Burner

A hearing panel of the MFDA’s Prairie Regional Council has issued its reasons for decision regarding misconduct in connection with the disciplinary hearing held in Winnipeg, Manitoba on July 19-20, 2010 in the matter of Gregory James Richard Burner.

A copy of the Reasons for Decision is available by clicking here.

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MFDA Hearing Panel issues Reasons for Decision in the Matter of Roderick Iain McLeod

A hearing panel of the MFDA’s Central Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Toronto, Ontario on June 10, 2010 in the matter of Roderick Iain McLeod.

A copy of the Reasons for Decision is available by clicking here.

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MFDA Hearing Panel issues Reasons for Decision in the Matter of Brian Nerdahl

A hearing panel of the MFDA’s Central Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Toronto, Ontario on June 14, 2010 in the matter of Brian Edward Mark Nerdahl.

A copy of the Reasons for Decision is available by clicking here.

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MFDA Hearing Panel issues Reasons for Decision in the Matter of Carmen Moerike

A hearing panel of the MFDA’s Prairie Regional Council has issued its reasons for decision in connection with the disciplinary hearing held in Regina, Saskatchewan on May 27, 2010 in the matter of Carmen G. Moerike.

A copy of the Reasons for Decision is available by clicking here.

(08/13/10)