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
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
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