MFDA Panel makes findings against Peter Brauns and issues Decision and Reasons (Misconduct)
Information contained on this page is provided by an independent third-party content provider. WorldNow and this Station make no warranties or representations in connection therewith. If you have any questions or comments about this page please contact email@example.com.
SOURCE Mutual Fund Dealers Association of Canada
TORONTO, Oct. 15, 2013 /CNW/ - A Hearing Panel of the MFDA's Central
Regional Council has issued its Decision and Reasons (Misconduct) in
connection with a disciplinary hearing held in Toronto, Ontario in the
matter of Peter Haralds Brauns.
Submissions with respect to conduct concluded on May 1, 2013, at which
time the Hearing Panel advised that it would announce its decision and
issue written reasons in due course. In its Decision and Reasons
(Misconduct), dated October 15, 2013, the Hearing Panel found that the
allegations made against the Respondent in the Amended Notice of Hearing had been established and directed that submissions
with respect to penalty will take place on a date to be announced.
The MFDA is the self-regulatory organization for Canadian mutual fund
dealers, regulating the operations, standards of practice and business
conduct of its 115 Members and their approximately 80,000 Approved
Persons with a mandate to protect investors and the public interest.