May 31, 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.
An appearance in this proceeding was held today by teleconference before a Hearing Panel of the MFDA’s Central Regional Council
Following submissions by the parties, the next appearance in this proceeding has been scheduled to take place by teleconference before a Hearing Panel on August 13, 2019 at 9:30 a.m. (Eastern), or as soon thereafter as the appearance can be held, and 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 listen to the teleconference 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.