MFDA announces disciplinary proceeding in respect of Roberto Mammone

TORONTO, Sept. 21, 2011 /CNW/ - The Mutual Fund Dealers Association of Canada today announced that it has commenced disciplinary proceedings in respect of Roberto Gabriel Mammone (the "Respondent"). MFDA staff alleges in its Notice of Hearing that Mr. Mammone engaged in the following conduct contrary to the By-laws, Rules or Policies of the MFDA:

          Allegation #1:  On or about April 17, 2009, the Respondent falsified client signatures on six account documents pertaining to the accounts of clients DL, LL, PC and EM, contrary to MFDA Rule 2.1.1.

The first appearance in this matter will take place by teleconference before a Hearing Panel of the MFDA's Central Regional Council on October 27, 2011 at 10:00 (Eastern) in the Hearing Room located at 121 King Street West, Suite 1000, Toronto, Ontario. The purpose of the first appearance is to schedule the date for the commencement of the hearing on its merits and to address any other procedural matters, and will be open to the public, except as may be required for the protection of confidential matters.

A copy of the Notice of Hearing is available on the MFDA website at www.mfda.ca.

The MFDA is the self-regulatory organization for Canadian mutual fund dealers, regulating the operations, standards of practice and business conduct of its 132 Members and their approximately 75,000 Approved Persons with a mandate to protect investors and the public interest.

SOURCE Mutual Fund Dealers Association of Canada

For further information:

Shaun Devlin
Vice-President, Enforcement
416-943-4672 or sdevlin@mfda.ca


FORFAITS PERSONNALISÉS

Jetez un coup d’œil sur nos forfaits personnalisés ou créez le vôtre selon vos besoins de communication particuliers.

Commencez dès aujourd'hui .

ADHÉSION À CNW

Remplissez un formulaire d'adhésion à CNW ou communiquez avec nous au 1-877-269-7890.

RENSEIGNEZ-VOUS SUR LES SERVICES DE CNW

Demandez plus d'informations sur les produits et services de CNW ou communiquez avec nous au 1‑877-269-7890.