release-Next201521
For further information, please contact:
Marco Wynnyckyj Manager, Hearings
416-945-5146
NEWS RELEASE
For immediate release
MFDA schedules next appearance in the matter of Gerald Rumball
September
22,
2015 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada
(“MFDA”) commenced a disciplinary proceeding in respect of Gerald Daniel Rumball (the “Respondent”) by Notice of Hearing (the “Notice of Hearing”) dated July 23, 2015.
As specified in the Notice of Hearing, the first appearance in this proceeding was held yesterday by teleconference before a Hearing Panel of the MFDA’s Central Regional Council.
Following submissions by the parties with respect to scheduling and procedural matters, the Hearing Panel has set aside December 10-11, 2015 at 9:30 a.m. (Eastern) by teleconference, to consider any pre-hearing Motions. The appearance will be open to the public, except as may be required for the protection of confidential matters.
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 conducted business in the Hagersville, 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 103 Members and their over 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.
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