AGREED FACTS Registration History. 7. The Respondent has been registered in the securities industry since 2008.
AGREED FACTS Registration History. 6. The Respondent has been registered in the mutual fund industry since January 1999.
AGREED FACTS Registration History. 7. Since March 2003, the Respondent has been registered as a mutual fund salesperson (now known as a dealing representative) in Alberta and Saskatchewan with Sun Life Financial Investment Services (Canada) Inc. (“Sun Life”), a Member of the MFDA.
AGREED FACTS Registration History. 7. Since 1990, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative). Since December 2000, the Respondent has been registered in Ontario with FundEX Investments Inc. (“FundEX”), a Member of the MFDA.
AGREED FACTS Registration History. 6. Since 1993, the Respondent has been registered in British Columbia as a mutual fund salesperson (now known as a Dealing Representative) and, since 1997 as a branch manager with PFSL Investments Canada Ltd. (“PFSL”), a Member of the MFDA.
AGREED FACTS Registration History. 7. Since 1997, the Respondent has been registered in Ontario as a mutual fund salesperson (now known as a Dealing Representative).
AGREED FACTS Registration History. 7. The Respondent was registered in Ontario as a Dealing Representative with TD Investment Services Inc. (“TD”), a Member of the MFDA, from July 22, 2014 to July 7, 2015.
AGREED FACTS Registration History. 7. Since 1994, the Respondent has been registered as a mutual fund salesperson (now known as a Dealing Representative).
AGREED FACTS Registration History. 6. The Respondent has been registered as a mutual fund dealer in Ontario since April 8, 1986 and has been a Member of the MFDA since March 8, 2002.
AGREED FACTS Registration History. 7. From August 8, 2003 to November 27, 2014, the Respondent was registered in Ontario as a mutual fund salesperson (now known as a dealing representative) with Royal Mutual Funds Inc. (“Royal Mutual”), a Member of the MFDA. On November 27, 2014, the Respondent was terminated as a result of the matter described herein.
