IN THE MATTER OF Antonio Cornacchia - Settlement
The subject matter of the proposed Settlement Agreement concerns allegations that between
(a) the improper use of a client's cheque; (b) transferring of funds from various client accounts to other client accounts; and (c) causing an account to be opened without the client's knowledge.
The IDA formally initiated the investigation into the Respondent's conduct in the fall of 2006. It was alleged that the violations occurred when the Respondent was a Registered Representative with the Woodbridge Branch of TD Waterhouse
The hearing is not open to the public unless and until the Settlement Agreement has been accepted by the Hearing Panel. If the Hearing Panel accepts the Settlement Agreement, the Hearing Panel's decision and reasons will be made available to the public.
IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in
IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
For further information: For further information: Alex Popovic, Vice President, Enforcement, (416) 943-6904, [email protected]; Jeff Kehoe, Director, Enforcement Litigation, (416) 943-6996, [email protected]
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