May 14, 2019 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of Glen Lawrence Gomes (“Respondent”) by Notice of Hearing dated March 4, 2019.
As specified in the Notice of Hearing, the first 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 October 29-31, 2019, commencing at 10:00 a.m. (Eastern) each day, or as soon thereafter as the matter can be heard, in the hearing room at the MFDA offices, 121 King Street West, Suite 1000, Toronto, Ontario. The Hearing Panel also scheduled two interim procedural appearances by teleconference on May 31, 2019 and August 13, 2019 at 9:30 a.m. (Eastern) or as soon thereafter as the appearances can be held. All appearances before the Hearing Panel shall be open to the public, except as may be required for the protection of confidential matters. Members of the public who would like to listen to the teleconferences should contact firstname.lastname@example.org to obtain particulars.
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 81,000 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.