On May 31, 2013, the Mutual Fund Dealers Association of Canada (“MFDA”) suspended the rights and privileges of MFDA membership of W.H. Stuart Mutuals Ltd. (“W.H. Stuart”). The suspension followed previous orders and investigations by the MFDA in respect of W.H. Stuart and its principal, Marilyn Dianne Stuart (“Stuart”). W.H. Stuart customer accounts were transferred to Keybase Financial Group Inc. (“Keybase”), an MFDA Member.
For more information regarding the W.H. Stuart matter, please see the Enforcement Section of the MFDA website.
The following documents are intended to assist W.H. Stuart customers with the claims process of the MFDA IPC.
- Notice to Customers (December 15, 2014)
- Notice to Customers (June 16, 2014)
- Notice to Customers (Sept. 20, 2013)
- Notice to Customers (Aug. 6, 2013)
- Cover Letter for Proof of Claims Form (Aug. 6, 2013)
- Proof of Claim Form (Aug. 6, 2013)
- Notice to Customers (June 21, 2013)