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MFDA Panel amends hearing start time in the matter of Stephen Smockum

For further information, please contact:

Marco Wynnyckyj
Director, Hearings

MFDA Panel amends hearing start time in the matter of Stephen Smockum

July 18, 2022 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Stephen Scott Smockum (the “Respondent”) by Notice of Hearing dated September 20, 2021 (“Notice of Hearing”).

The hearing in this proceeding will commence at 10:00 a.m. (Eastern) on July 19, 2022, having previously been scheduled for 9:00 a.m. (Eastern) the same day. Members of the public who would like to participate should contact [email protected] to obtain particulars.

A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent carried on business in the Norwood, Ontario area.

The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its Members and their approximately 80,000 Approved Persons with a mandate to protect investors and the public interest. For more information about the MFDA’s complaint and enforcement processes, as well as links to ‘Check an Advisor’ and other Investor Tools, visit the For Investors page on the MFDA website.

DM 894885