IN THE MATTER OF A DISCIPLINARY HEARING PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
NOTICE OF HEARING
NOTICE is hereby given that a first appearance will take place by teleconference before a hearing panel of the Pacific Regional Council (“Hearing Panel”) of the Mutual Fund Dealers Association of Canada (“MFDA”) in the hearing room at the MFDA offices, located at 650 West Georgia Street, Suite 1220, Vancouver, British Columbia on November 16, 2017 at 10:30 a.m. (Pacific), or as soon thereafter as the hearing can be held, concerning a disciplinary proceeding commenced by the MFDA against Lucas Stemshorn-Russell (“Respondent”). The Hearing on the Merits will take place in Vancouver, British Columbia at a time and venue to be announced.
DATED: Sep 19, 2017
Assistant Corporate Secretary
Mutual Fund Dealers Association of Canada
121 King St. West, Suite 1000
Toronto, ON M5H 3T9
NOTICE is further given that the MFDA alleges the following violation of the By-laws, Rules or Policies of the MFDA:
Allegation #1: Between March 2016 and April 2016, the Respondent cut and pasted the signatures of two (2) clients from account forms previously signed by the clients onto two (2) new account forms, contrary to MFDA Rule 2.1.1.