Industry News

MFDA issues reasons for Jones decision

A hearing panel of the Central Regional Council of the MFDA has issued its Reasons for Decision in connection with the disciplinary hearing held in Toronto, Ontario on January 21, 2011 in the matter of Christopher Philip Jones. A copy of the hearing panel’s Reasons for Decision is available on the MFDA website at www.mfda.ca.

By Staff |March 1, 2011

1 min read

MFDA settles with Connor Financial, Joel Connor

A settlement hearing in the matter of Connor Financial Corporation (“CFC”) and Joel Gerrett (Gerry) Connor (“Connor”) (collectively the “Respondents”) was held on February 25, 2011 in Vancouver, British Columbia before a hearing panel of the MFDA’s Pacific Regional Council. The hearing panel accepted the settlement agreement between the Respondents and MFDA staff, as a […]

By Staff |March 1, 2011

4 min read

IIROC settles with Gary John Williamson

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Gary John Williamson. In this agreement, Mr. Williamson entered orders to purchase securities with the intention of establishing an artificial bid price, thereby improving the performance of an inventory account for which […]

By Staff |March 1, 2011

1 min read

Claymore launches new income ETF

Claymore Investments has announced the launch of the Claymore Short Duration High Income ETF. The goal of the ETF is to maximize total returns, consisting of both tax efficient monthly distributions and capital appreciation, and to preserve capital. “We continue to believe that good income products are critical for Canadian investors,” said Som Seif, president […]

By Staff |March 1, 2011

1 min read