Alberta Securities Commission issues decision in the matter of Tamar Eisenberg
March 28, 2022 (Toronto, Ontario) – A Hearing Panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada (“MFDA”) issued its Decision and Reasons on July 27, 2020 (“Decision and Reasons”), in connection with a disciplinary hearing held on June 24, 2020 in Calgary, Alberta in respect of Tamar Michelle Eisenberg. A copy of the Decision and Reasons is available on the MFDA website here.
Ms. Eisenberg applied to the Alberta Securities Commission (“ASC”) for a Hearing and Review of the MFDA Hearing Panel’s penalty decision, pursuant to subsections 36, and 73 of the Securities Act (Alberta), RSA 2000 cS-4, and MFDA By-Law No. 1 Section 26.1.
An ASC Hearing Panel has issued its Decision on March 15, 2022 (“ASC Decision”). A copy of the ASC Decision is available on the ASC website here.
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.