TORONTO, Nov. 7, 2013 /CNW/ - A Hearing Panel of the MFDA's Prairie Regional Council has issued its
Reasons for Decision in connection with a disciplinary hearing held in
Edmonton, Alberta on October 2, 2013 in the matter of Ricardo John
Cavalli (the "Respondent").
A copy of the Reasons for Decision is available on the MFDA website at www.mfda.ca. During the period described in the Notice of Hearing, the Respondent
carried on business in the Edmonton, Alberta area.
The MFDA is the self-regulatory organization for Canadian mutual fund
dealers, regulating the operations, standards of practice and business
conduct of its 114 Members and their approximately 80,000 Approved
Persons with a mandate to protect investors and the public interest.
For more information about the MFDA's complaint and enforcement
processes, as well as links to 'Check an Advisor' and other Investor
Tools, visit the For Investors page on the MFDA website.
SOURCE: Mutual Fund Dealers Association of Canada
For further information:
Managing Director, Enforcement
Vice-President, Prairie Region