IN THE MATTER OF A SETTLEMENT HEARING PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
Re:
Notice of Settlement Hearing
Notice of Settlement Hearing
File No. 201302-2
IN THE MATTER OF A SETTLEMENT HEARING
PURSUANT TO SECTION 24.4 OF BY-LAW NO. 1 OF
THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA
Re: Domenic Pizzimenti
NOTICE OF SETTLEMENT HEARING
NOTICE is hereby given that a hearing will be held before a hearing panel of the Central
Regional Council (the “Hearing Panel”) of the Mutual Fund Dealers Association of Canada (the
“MFDA”) at the MFDA offices located at 121 King Street West, Suite 1000, Toronto, Ontario on
November 20, 2013 at 1:00 p.m. (Eastern), or as soon thereafter as the hearing can be held, to
consider whether, pursuant to section 24.4 of By-law No. 1 of the MFDA, the Hearing Panel
should accept the settlement agreement (the “Settlement Agreement”) entered into between Staff
of the MFDA and Domenic Pizzimenti (the “Respondent”).
The subject matter of the proposed Settlement Agreement concerns matters for which the
Respondent may be disciplined as an Approved Person of the MFDA, pursuant to sections 20
and 24.1.1 of By-law No. 1 of the MFDA.
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1.
The proposed Settlement Agreement concerns allegations that the Respondent, from June
20, 2009 to May 3, 2010, obtained and used four blank or partially completed pre-signed forms
to complete transactions for two clients, all of which was known to and authorized by the clients,
contrary to MFDA Rule 2.1.1.
2.
The hearing is open to the public, unless and to the extent that the Hearing Panel
determines that all or part of the hearing should proceed in the absence of the public. If the
Hearing Panel accepts the Settlement Agreement, then copies of the decision of the Hearing
Panel and the Settlement Agreement will be made available to the public.
DATED this 16th day of September, 2013.
“Bernadette Devine”
Bernadette Devine
Assistant Corporate Secretary
Mutual Fund Dealers Association of Canada
121 King Street West, Suite 1000
Toronto, Ontario
M5H 3T9
Telephone: 416-943-7436
Facsimile: 416-361-9781
Email: corporatesecretary@mfda.ca
DM 353642 v2
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