October 6, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Joshua O’Brien (the “Respondent”) by Notice of Settlement Hearing dated August 23, 2021.
An appearance in this proceeding was held today by videoconference before a Hearing Panel of the MFDA’s Atlantic Regional Council.
Prior to the commencement of the hearing on October 6, 2021, the parties made an adjournment request to the Hearing Panel. Following submissions by the parties, the Panel granted the adjournment. The next appearance in this proceeding will take place by videoconference on December 9, 2021, commencing at 10:00 a.m. (Atlantic), or as soon as the appearance can be held. The appearance will be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to participate should contact email@example.com to obtain particulars.
A copy of the Notice of Settlement Hearing is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Settlement Hearing, the Respondent conducted business in the Labrador City, Newfoundland and Labrador 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.