MFDA Order

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File No. 201764

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

Re: Sean William Maxwell

Order

(ARISING FROM FIRST APPEARANCE ON SEPTEMBER 12, 2017)

WHEREAS on July 11, 2017, the Mutual Fund Dealers Association of Canada (“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 Sean William Maxwell (“Respondent”);

AND WHEREAS on September 12, 2017, the first appearance in this proceeding was held by teleconference before one public representative of a Regional Council acting on behalf of a hearing panel of the Central Regional Council of the MFDA (“Hearing Panel”), pursuant to section 19.13(b) of MFDA By-law No. 1;

AND WHEREAS the Respondent did not attend the first appearance, although properly served with the Notice of Hearing as appears from the affidavit of Robert Kaus;

AND WHEREAS counsel for Staff of the MFDA attended the first appearance by teleconference and made submissions to the Hearing Panel with respect to service of the Notice of Hearing, scheduling and other procedural matters;

IT IS HEREBY ORDERED THAT:

  1. the hearing of this matter on its merits shall take place before the Hearing Panel in the hearing room located at 121 King Street West, Suite 1000, Toronto, Ontario on March 6, 2018, commencing at 10:00 a.m. (Eastern).

DATED: Sep 12, 2017

"Frederick W. Chenoweth"

Frederick W. Chenoweth

Chair


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