The Investment Dealers Association of Canada announced today that a hearing date has been set to consider sanctions to be imposed on former RBC Dominion Securities broker Joseph Stauffer.
Joseph Stauffer is being penalized for failing to attend and give information in respect to an investigation being conducted by the IDA’s enforcement department.
On September 30, 2002, the Ontario District Council found Mr. Stauffer to have violated Association By-law 19.5, which states that all IDA members must co-operate with any investigation they are the subject of.
The penalty hearing is scheduled to commence at nine a.m. on November 1st at the Exchange Conference Centre, in Toronto. The hearing is open to the public, pending the existence of confidential matters.
IDA sets hearing date to consider sanctions
The association will convene on Nov. 1 to consider penalties for a broker who did not co-operate with an investigation
- By: IE Staff
- October 16, 2002 October 16, 2002
- 15:20
IE Staff