MONTREAL, Jan. 11 /CNW/ - A Hearing Panel appointed pursuant to IDA
By-law 20 has found Louis-Philippe Séguin, at all material times an Approved
Person with the Montréal branch of Jones, Gable & Company Limited, a Member
firm of the IDA, guilty of violating By-law 19.5.
The Hearing Panel found that, on or about March 22, 2006, Mr. Séguin
refused to cooperate in an IDA investigation by refusing to attend and give
information, contrary to By-law 29.1.
A penalty hearing will be held on February 14, 2008.
Mr. Séguin is currently not employed with an IDA Member firm.
The Investment Dealers Association of Canada (IDA) is the national
self-regulatory organization of the securities industry. The IDA's mission is
to protect investors, foster market integrity and enhance the efficiency and
competitiveness of the Canadian capital markets. The IDA enforces rules and
regulations regarding the sales, business and financial practices of its
Member firms and their approved persons. Investigating complaints and
disciplining Members and approved persons is part of the IDA's regulatory
role. It is IDA policy to ensure that where relevant, referrals to the
appropriate policing authority are made.
For further information:
For further information: Carmen Crépin, Vice-President, Québec, (514)
878-2854 or firstname.lastname@example.org; Jeffrey Kehoe, Director, Enforcement Litigation,
(416) 943-6996 or email@example.com