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MFDA Reasons For Decision

IN THE MATTER OF A DISCIPLINARY HEARING PURSUANT TO SECTIONS 20 AND 24 OF BY-LAW NO. 1 OF THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA

Re: Sharon June Fauth

Heard: October 26, 2016 in Calgary, Alberta
Reasons For Decision: January 20, 2017

Reasons For Decision

Hearing Panel of the Prairie Regional Council:

  • Alan V. M. Beattie, Chair
  • M. Elaine Bradley, Industry Representative

Appearances:

David Babin, Counsel for the Mutual Fund Dealers Association of Canada | Jeffrey N. Thom, Q.C., Counsel for the Respondent | Sharon June Fauth, Respondent

  • Alan V. M. Beattie
    Alan V. M. Beattie
    Chair
  • M. Elaine Bradley
    M. Elaine Bradley
    Industry Representative

DM 515096 v1