MFDA Order

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File No. 201676

IN THE MATTER OF A DISCIPLINARY HEARINGPURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OFTHE MUTUAL FUND DEALERS ASSOCIATION OF CANADA

Re: Anthony Paul Dorzek

Order

(ARISING FROM FIRST APPEARANCE ON NOVEMBER 22, 2016)

WHEREAS on September 19, 2016, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to sections 20 and 24 of By-law No. 1 in respect of a disciplinary proceeding commenced against Anthony Paul Dorzek (the “Respondent”);

AND WHEREAS on November 22, 2016, the first appearance in this proceeding was held as scheduled before one public representative of a Regional Council acting on behalf of a hearing panel of the Central Regional Council of the MFDA (the “Hearing Panel”), pursuant to s. 19.13 of MFDA By-Law No. 1;

AND WHEREAS at the first appearance in this matter, no one appeared on behalf of the Respondent and no materials were filed on behalf of the Respondent;

AND WHEREAS counsel for Staff of the MFDA made submissions to the Chair of the Hearing Panel at the first appearance with respect to scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. Service of the Notice of Hearing on the Respondent in the proceedings herein has been effected via substituted service in accordance with rules 4.2(d) and 4.8(1) of the MFDA Rules of Procedure;
  2. The hearing of this matter on its merits shall take place on January 24, 2017, commencing at 10:00 a.m. (Eastern), or as soon thereafter as the matter can be heard, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario;
  3. This Order shall be served on the Respondent by email to tdorzek@hotmail.com and by ordinary and registered mail at the following addresses:
    1. 85 Culham Street, Oakville, Ontario L6H 1G3; and
    2. 2053 White Dove Circle, Oakville, Ontario L6M 3R7.

DATED: Nov 22, 2016

"Frederick W. Chenoweth"

Frederick W. Chenoweth

Chair


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