Duclos, Dennis

File Number

202213

Status

Concluded

Outcome

Costs $2500.00; Fine $25000.00

Relevant documents:

Reasons202213_FR.pdf

Reasons202213.pdf

Order2-202213-1

Notices about this Proceeding:

04/18/22

MFDA announces disciplinary proceeding in respect of Dennis Duclos

Type:

Hearing Notice

06/09/22

MFDA schedules next appearance in the matter of Dennis Duclos

Type:

Hearing Notice

10/12/22

MFDA schedules next appearance in the matter of Dennis Duclos

Type:

Hearing Notice

11/09/22

MFDA reschedules interim appearance in the matter of Dennis Duclos

Type:

Hearing Notice

11/25/22

MFDA announces settlement hearing to take place in the matter of Dennis Duclos

Type:

Hearing Notice

12/06/22

MFDA Hearing Panel accepts settlement agreement with Dennis Duclos

Type:

Decision Notice

03/31/23

New SRO Hearing Panel issues Reasons for Decision in the matter of Dennis Duclos

Type:

Decision Notice

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