MFDA Hearing Panel issues Reasons for Decision in the matter of Donald O'Connor
TORONTO, Nov. 2, 2018 /CNW/ - A Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada ("MFDA") has issued its Reasons for Decision dated October 31, 2018 ("Reasons for Decision") in connection with a disciplinary hearing held in Calgary, Alberta on April 5 and 6, 2018 in the matter of Donald Wayne O'Connor ("Respondent").
In its Reasons for Decision, the Hearing Panel confirmed the sanctions imposed on the Respondent. In particular, the Respondent:
shall pay a fine of $25,000; and
shall pay costs of $5,000.
A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca. During the period described in the Reasons for Decision, the Respondent conducted business in the Calgary, Alberta area.
The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its Members and their approximately 82,000 Approved Persons with a mandate to protect investors and the public interest. For more information about the MFDA's complaint and enforcement processes, as well as links to 'Check an Advisor' and other Investor Tools, visit the For Investors page on the MFDA website.
AZZ Inc. , the leading independent provider of hot-dip galvanizing and coil coating solutions, today announced the pricing of its underwritten public offering of 4,000,000 shares of common stock at a public offering price per share of $70.00, for...
TSX VENTURE COMPANIES
BULLETIN V2024-1200
LEONOVUS INC. ("LTV.WT")BULLETIN TYPE: Warrant Expiry-DelistBULLETIN DATE: April 25, 2024TSX Venture Tier 2 Company
Effective at the opening, May 2, 2024, the Share Purchase Warrants of the Company will...
Greenbrook TMS Inc. ("Greenbrook" or the "Company") today announced its fiscal year ended December 31, 2023 ("Fiscal 2023") operational and financial results. All values in this news release are in United States dollars, unless otherwise stated....
Dominion Lending Centres Inc. ("DLCG" or the "Corporation") is pleased to announce that it has completed a sale of its 52% interest in Cape Communications International Inc. ("Impact") for aggregate cash proceeds of $3.71 million (the "Purchase...
Orbia Advance Corporation, S.A.B. de C.V. (BMV: ORBIA*) ("the Company" or "Orbia") today released unaudited results for the first quarter of 2024.
Orbia's first quarter performance reflects the continued weakness in the market environment,...