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Order

Re:

Order

Order
File No 201543




IN THE MATTER OF A SETTLEMENT HEARING
PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF
THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA


Re: Adam Alexander Aleshka



ORDER



WHEREAS the Respondent entered into a settlement agreement with Staff of the
MFDA, dated October 5, 2015 (the “Settlement Agreement”), in which the Respondent agreed to
a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss.
20 and 24.1 of By-law No. 1;

AND WHEREAS the Hearing Panel is of the opinion that, between February 20, 2012
and February 16, 2014, the Respondent obtained and used 29 pre-signed partially completed or
photocopied versions of pre-signed partially completed forms in respect of 14 client accounts,
contrary to MFDA Rule 2.1.1(c);

IT IS HEREBY ORDERED THAT the Settlement Agreement is accepted, as a
consequence of which:

1.
If at any time a non-party to this proceeding requests production of, or access to, any
materials filed in, or the record of, this proceeding, including all exhibits and transcripts, then the
MFDA Corporate Secretary shall not provide copies of, or access to, the requested documents to

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the non-party without first redacting from them any and all intimate financial or personal
information, pursuant to Rules 1.8(2) and (5) of the MFDA Rules of Procedure;

2.
the Respondent shall pay a fine in the amount of $5,000, pursuant to section 24.1.1(b) of
By-law No. 1;

3.
the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of By-
law No. 1; and

4.
the Respondent shall in the future comply with MFDA Rule 2.1.1(c).

DATED this 27th day of October, 2015.

“Sherri Walsh”
Sherri Walsh

Chair

“M. Elaine Bradley”
M. Elaine Bradley

Industry Representative

“Marc Albert”
Marc Albert

Industry Representative

DM 450755 v2

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