MFDA 2019 Seniors Summit

Welcome and Opening Remarks


  1. Mark Gordon – President and CEO (MFDA)

The New Retirement Reality – Advising Seniors


  1. Michael Finke – Professor and Frank M. Engle Chair in Economic Security (The American College of Financial Services)

Seniors Initiatives from FINRA


  1. Jim Wrona – Vice-President and Associate General Counsel (Financial Industry Regulatory Authority – FINRA)

Member Best Practices and MFDA Guidance on Protecting Seniors and Vulnerable Investors – Temporary Holds and Trusted Contact Persons


  1. Ian Strulovitch – Director, Public Affairs (MFDA)
  2. Danielle Tétrault – Vice-President, Compliance and Chief Compliance Officer (Investors Group Financial Services Inc.)
  3. Paige Wadden – Head of Compliance (Worldsource Wealth Management)

MFDA Regulatory Approach / Member Supervisory approach to Handling Seniors Issues


  1. Brett Konyu – Manager, Member Education (MFDA)


  1. Matthew Brady – Managing Director, Compliance (MFDA)
  2. Charles Toth – Managing Director, Litigation (MFDA)
  3. Lesley Duffy – Chief Compliance Officer, (Quadrus Investment Services Ltd.)
  4. Cheryl Hamilton – Vice President Risk Management, Chief Compliance Officer (HUB Capital Inc.)

Seniors Initiatives from SEC


  1. Lori Schock – Director, Office of Investor Education and Advocacy (U.S. Securities and Exchange Commission)

Effective Communication Skills for Senior Clients


  1. Dr. Carole Cohen – Geriatric Psychiatrist (Sunnybrook Health Sciences Centre)