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MFDA Order

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HomeCompleted Hearings201920 - Glen Lawrence Gomes › Order201920

File No. 201920

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: Glen Lawrence Gomes

Order

(ARISING FROM FIRST APPEARANCE ON MAY 14, 2019)

WHEREAS on March 4, 2019, 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 Glen Lawrence Gomes (the “Respondent”);

And Whereas the Notice of Hearing was served on the Respondent’s counsel by email on April 1, 2019;

AND WHEREAS in accordance with Rule 8 of the MFDA Rules of Procedure, the Respondent served and filed a Reply to the Notice of Hearing, dated May 3, 2019;

AND WHEREAS on May 14, 2019, the first appearance in this proceeding was held before one public representative of a Regional Council acting as Chair 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 during the first appearance Staff and counsel for the Respondent made submissions to the Chair of the Hearing Panel with respect to scheduling and other procedural matters.

IT IS HEREBY ORDERED THAT:

  1. Two additional procedural appearances in this matter shall take place by teleconference before the Hearing Panel on May 31, 2019, commencing at 9:30 am (Eastern), and August 13, 2019, commencing at 9:30 am (Eastern), or as soon thereafter as the matter can be heard; and
  2. The hearing of this matter on its merits shall take place on October 29, 30 and 31, 2019, commencing at 10:00 a.m. (Eastern), each day, in the hearing room at the MFDA offices, 121 King Street West, Suite 1000, Toronto, Ontario.

DATED: May 14, 2019

"J. L. McDougall"

J. L. McDougall

Chair


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