CALGARY, Feb. 12 /CNW/ - A Hearing Panel of the Investment Dealers
Association of Canada (IDA) appointed pursuant to By-law 20 has imposed
discipline penalties on Randall Wayne Reiffenstein, formerly an approved
person with the Calgary branch office of Dundee Securities Corporation, a
Member of the IDA.
The Hearing Panel found that between November 2, 2005 and February 14,
2006, Mr. Reiffenstein failed to cooperate in an investigation into his
conduct, contrary to By-law 19.5. If Mr. Reiffenstein does not contact the
IDA, pay his fine and costs and fully cooperate within 90 days, he will be
Mr. Reiffenstein has not been employed with an IDA Member firm since
July 19, 2005.
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: Warren Funt, Vice-President, Western Canada,
(604) 331-4750 or firstname.lastname@example.org; Jeff Kehoe, Director, Enforcement Litigation,
(416) 943-6996 or email@example.com