September 27, 2017 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Alfredo Pino, also known as Alfie Pino (“Respondent”) by Notice of Hearing dated November 7, 2016 (“Notice of Hearing”).
An appearance in this proceeding took place today by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.
Following submissions by the parties, the hearing of this matter on its merits has been scheduled to take place on December 4-6, 2017, commencing at 10:00 a.m. (Eastern) each day, in the hearing room at the offices of the MFDA, located at 121 King Street West, Suite 1000, Toronto, Ontario. The Hearing Panel also scheduled October 27, 2017 at 10:00 a.m. (Eastern) as an interim appearance to consider any pre-hearing Motions, as well as to deal with any procedural or scheduling matters. All appearances before the Hearing Panel shall be open to the public, except as may be required for the protection of confidential matters.
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 83,000 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.
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