| Canadian Investment Regulatory Organization

MFDA announces disciplinary proceeding in respect of Roger Gebhardt

October 14, 2021

MFDA announces disciplinary proceeding in respect of Stephen Smockum

October 13, 2021

MFDA Panel adjourns Hearing on the Merits in the matter of Andrew Kazina

October 6, 2021

MFDA Hearing Panel approves three settlement agreements

Decision Notice

October 1, 2021

MFDA Hearing Panel approves three settlement agreements

Decision Notice

October 1, 2021

MFDA Hearing Panel approves three settlement agreements

Decision Notice

October 1, 2021

Mutual Fund Dealer

MFDA schedule dates for Hearing on the Merits in the matter of Guy Dudding

September 24, 2021

MFDA Hearing Panel accepts settlement agreement with James Wilson

Decision Notice

September 10, 2021

MFDA schedules next appearance in the matter of Andrew Kazina

September 9, 2021

MFDA reschedules date for next appearance in the matter of Andrew Kazina

September 1, 2021

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