Notice of Settlement Hearing

PARTICULARS

1. The proposed Settlement Agreement concerns the allegation that between February 2010 and October 2014, the Respondent, acting in his capacity as branch manager, reviewed and approved the use of ten (10) account forms that the Respondent knew or ought to have known had been altered without obtaining client initials authorizing the alterations, contrary to MFDA Rules 2.5.5(f)[1] and 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.

[1] Prior to September 2013, MFDA Rule 2.5.5 (f) was numbered as 2.5.5(d).