INVESTMENT DEALERS ASSOCIATION OF CANADA NOTICE OF HEARING
|
|
- Hugh Allison
- 5 years ago
- Views:
Transcription
1 INVESTMENT DEALERS ASSOCIATION OF CANADA IN THE MATTER OF: THE BY-LAWS OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA AND JOHN D. W. BUSKELL NOTICE OF HEARING TAKE NOTICE that pursuant to Part 10 of By-law 20 of the Investment Dealers Association of Canada ( the Association ), a hearing will be held before a hearing panel ( the Hearing Panel ) on Tuesday, June 3, 2008, at the Calgary TELUS Convention Centre, th Avenue S.E., TELUS Room 106, Calgary, Alberta, at 10:00 a.m., or as soon thereafter as the hearing can be heard. TAKE FURTHER NOTICE that pursuant to Rule 6.2 of the Association Rules of Practice and Procedure, that the hearing shall be designated on the: X The Standard Track The Complex Track THE PURPOSE OF THE HEARING is to determine whether John D.W. Buskell ( the Respondent ) has committed the following contraventions that are alleged by the Association: COUNT 1 On or about February 12, 2007, to the present date, the Respondent, at all material times a Registered Representative with Wolverton Securities Ltd., failed to attend and give information in respect of an investigation conducted by the Association s Enforcement Department and/or failed to otherwise cooperate with the investigation contrary to Association By-law Buskell: Notice of Hearing 1
2 PARTICULARS TAKE FURTHER NOTICE that the following is a summary of the facts alleged and intended to be relied upon by the Association at the hearing: THE RESPONDENT 1. The Respondent was first employed in the securities industry in 1981 as an investment advisor with Bache Halsey Stuart Canada. Between , the Respondent held employment with approximately 30 different companies in either securities, real estate or banking positions. 2. The Respondent was employed with Wolverton Securities Ltd. ( Wolverton ) as an investment advisor and a registered representative in training as of July 12, 2004, and on February 25, 2005, the Respondent became a registered representative: Registration Issue Date Registration Termination Date Employer Registration Category 07/12/ /25/2005 Wolverton Securities Ltd. Not registered ( Investment Advisor In Training ) 02/25/ /07/2007 Wolverton Securities Ltd. Registered Representative (Retail) 3. The Respondent s employment was terminated by Wolverton effective February 7, The Respondent has not been registered with the Association since that date. 4. Pursuant to Association By-law 20.7(1), the Association retains jurisdiction over Approved Persons for a period of 5 years from the date on which the Approved Person ceased to be an Approved Person; in this case, February 7, THE INVESTIGATION 5. On or about January 25, 2007, Wolverton filed a ComSet notice with the Association in respect of the Respondent indicating a possible regulatory violation of inappropriate personal financial dealings with a client, E.F. 6. Wolverton later filed a Notice of Termination ( NOT ) with the Association in respect of the Respondent, effective February 7, 2007, indicating that the Respondent had been dismissed for cause and that there was an unresolved client complaint which alleged personal financial dealings. Buskell: Notice of Hearing 2
3 7. On February 19, 2007, Wolverton filed a further ComSet notice with the Association in respect of the Respondent indicating a possible regulatory violation of inappropriate personal financial dealings with a client, J.S. 8. On or about February 12, 2007, the Association s Case Assessment department sent a letter by regular post to the Respondent at the address listed for him ( the last known address ) on the National Registration Database ( NRD ). The letter advised the Respondent that the NOT filed by Wolverton indicates that the Respondent borrowed money from a client and has not repaid this debt. Although the Respondent was asked to provide the Association with a written response to this allegation on or before February 27, 2007, no response to this letter was received nor was the letter returned to the Association. 9. On or about July 31, 2007, the Association s Enforcement Staff ( Staff ) sent a letter via registered mail to the Respondent at the last known address advising him that Staff commenced an investigation into his conduct while he was a Registered Representative at Wolverton. Canada Post notified Staff that attempted delivery of this letter was made on Aug 8, Delivery was unsuccessful and a card was left at the address notifying the Respondent to pick up this letter at the post office. This letter was later returned to Staff unclaimed. 10. Staff were provided with Wolverton s internal investigation materials. Staff reviewed and analyzed these materials including, but not limited to, the written complaints of E.F. and J.S., and the notes of Wolverton s Calgary Branch Manager, B.P., describing interviews he had with the Respondent regarding E.F. s allegations and the events leading up to Wolverton s termination of the Respondent s employment. 11. B.P. s notes record that the Respondent admitted to B.P. and A.W., the Chief Compliance Officer for Wolverton, that the Respondent participated in outside business activities while employed as a Registered Representative at Wolverton and that he owed money to E.F. 12. Further, in the course of Staff s investigation, Staff discovered that the Respondent may have been involved in further and other outside business activities, inappropriate personal financial dealings, trading outside approved jurisdictions, unsuitable investment recommendations, excessive commissions/churning and theft or misrepresentation between Staff also noted that the Respondent was not completely forthcoming or cooperative with Wolverton or J.S. in regards to this matter. According to B.P. s notes from his second interview with the Respondent, the Respondent informed both A.W. and B.P. that he would be flying to Toronto to borrow funds from his father to repay E.F. However, A.W. advised that she saw the Respondent on her return flight to Vancouver at the time the Respondent said he would be on a flight to Toronto. Buskell: Notice of Hearing 3
4 14. B.P. further noted that, in early February 2007, the Respondent contacted B.P. indicating that he had just returned from Toronto and would attend the next day at the Calgary Wolverton office with a bank draft to repay E.F. However, the Respondent did not attend, nor did he contact B.P. again. 15. According to the J.S. complaint, the Respondent informed J.S. that he was retiring and therefore wanted to settle his debt to J.S. However, the Respondent did not attend at the meeting he arranged with J.S. in Edmonton, Alberta and J.S. discovered that the Respondent checked out of the hotel room at which he was staying in Edmonton on the day before their meeting. Subsequently, J.S. received voice messages from the Respondent in which the Respondent promised to repay J.S. or made excuses as to why payment would be late. J.S. was not repaid by the Respondent. 16. On or about August 23, 2007, Staff tried to contact the Respondent at the phone number listed for him on the NRD database, however the voic stated that it belonged to G.H., an individual not related to these matters insofar as known to the Association. Staff left a voice message asking for the Respondent to return their call or for the recipient of the voice message to notify Staff of an incorrect phone number. No response was received. 17. Staff discovered through an internet search that both the address and phone number on NRD listed for the Respondent is actually registered to G.H. Staff then contacted the Alberta Securities Commission (the ASC ) for any other contact information for the Respondent, but the ASC verified that the address on the NRD database was the same address depicted on the Respondent s Alberta Driver s License. However, the ASC provided Staff with a new phone number for the Respondent. 18. On or about September 11, 2007, Staff attempted to contact the Respondent at the telephone number provided by the ASC, however the voice mail was a female recording. Staff left a voice message asking for the Respondent to return their call or for the recipient of the voice message to notify Staff of an incorrect phone number. No response was received. 19. Staff scheduled an investigation interview for September 25, 2007, and sent a letter to the Respondent at the last known address by courier compelling his attendance at the investigation interview pursuant to Association By-law The courier later contacted Staff advising that the letter was undeliverable because the address is a postal box, not a physical address. 20. On or about September 18, 2007, Staff sent a second letter by regular post to the Respondent s last known address compelling the Respondent s attendance at an investigation interview now scheduled for October 4, 2007, to allow for mailing time. This letter was not returned to the Association nor was any response to the letter received. 21. The Respondent failed to attend at the interview scheduled for October 4, 2007 to answer questions in relation to the Association s investigation. Buskell: Notice of Hearing 4
5 22. On or about October 5, 2007, Staff sent the Respondent a letter by regular post to the last known address outlining their attempts to contact him, detailed in paragraphs 8 to 20 above. Staff also indicated in the letter that this matter was being referred to Enforcement Counsel. This letter was not returned to the Association, nor was any response received. 23. On or about January 11, 2008, A.W. contacted Staff indicating that the Respondent called Wolverton s Calgary office that day requesting his 2006 T4 slip. The Respondent was told that it was unavailable to which the Respondent replied he would call back at a later date. The telephone displayed that the Respondent had called from the River Rock Casino in Vancouver, British Columbia. 24. On or about March 2008, A.W. relayed to Staff that on or about January 15, 2008, the Respondent contacted Wolverton s Calgary office asking for a copy of his resume and his 2006 T4 slip. The Respondent was directed to contact Wolverton s Vancouver office. 25. The Respondent then contacted the payroll department of Wolverton s Vancouver office and provided a staff member with an address to mail his 2006 T4 slip to. The staff member recalls that it was a c/o address, but did not record the specifics. Further, the staff member reported asking the Respondent for his telephone number but he refused to provide it. 26. A.W. informed Staff that following January 15, 2008, the Respondent contacted Wolverton s Vancouver office several times over the next two weeks; however, the telephone number(s) from which the Respondent called from was not recorded. During the last telephone call the Respondent made to Wolverton, he was transferred to A.W. and the Respondent terminated the call before any conversation took place. 27. On or about March 7, 2008, A.W. confirmed to Staff that the Respondent had not contacted Wolverton since late January On or about March 7, 2008, Staff conducted another internet search for the Respondent s address and/or telephone number. Staff found a telephone number for a similar name to the Respondent s in Abbottsford, British Columbia. Although the middle initial did not correspond to the Respondent s, Staff tried to contact the Respondent at this telephone number. Staff left a voice message asking for the Respondent to return their call or for the recipient of the voice message to notify Staff of an incorrect phone number. No response was received. 29. Staff have concluded that the Respondent failed to attend and give information in respect of an investigation being conducted by the Association s Enforcement Department, thereby contravening Association By-law Buskell: Notice of Hearing 5
6 GENERAL PROCEDURAL MATTERS TAKE FURTHER NOTICE that the hearing and related proceedings shall be subject to the Association s Rules of Practice and Procedure. TAKE FURTHER NOTICE that pursuant to Rule 13.1, the Respondent is entitled to attend and be heard, be represented by counsel or an agent, call, examine and cross-examine witnesses, and make submissions to the Hearing Panel at the hearing. RESPONSE TO NOTICE OF HEARING TAKE FURTHER NOTICE that the Respondent must serve upon the Association a Response to the Notice of Hearing in accordance with Rule 7 within twenty (20) days (for a Standard Track disciplinary proceeding) or within thirty (30) days (for a Complex Track disciplinary proceeding) from the effective date of service of the Notice of Hearing. FAILURE TO RESPOND OR ATTEND HEARING TAKE FURTHER NOTICE that if the Respondent fails to serve a Response or attend the hearing, the Hearing Panel may, pursuant to Rules 7.2 and 13.5: (a) (b) (c) proceed with the hearing as set out in the Notice of Hearing, without further notice to the Respondent; accept as proven the facts and contraventions alleged by the Association in the Notice of Hearing; and order penalties and costs against the Respondent pursuant to By-law 20.33, and PENALTIES & COSTS TAKE FURTHER NOTICE that if the Hearing Panel concludes that the Respondent did commit any or all of the contraventions alleged by the Association in the Notice of Hearing, the Hearing Panel may, pursuant to By-law and By-law 20.34, impose any one or more of the following penalties: Where the Respondent is/was an Approved Person: (a) (b) a reprimand; a fine not exceeding the greater of: (i) $1,000,000 per contravention; and Buskell: Notice of Hearing 6
7 (ii) an amount equal to three times the profit made or loss avoided by such Approved Person by reason of the contravention. (c) (d) (e) (f) (g) (h) (i) suspension of approval for any period of time and upon any conditions or terms; terms and conditions of continued approval; prohibition of approval in any capacity for any period of time; termination of the rights and privileges of approval; revocation of approval; a permanent bar from approval with the Association; or any other fit remedy or penalty. Where the Respondent is/was a Member firm: (a) (b) a reprimand; a fine not exceeding the greater of: (i) $5,000,000 per contravention; and (ii) an amount equal to three times the profit made or loss avoided by the Member by reason of the contravention; (c) (d) (e) (f) (g) suspension of the rights and privileges of the Member (and such suspension may include a direction to the Member to cease dealing with the public) for any period of time and upon any conditions or terms; terms and conditions of continued Membership; termination of the rights and privileges of Membership; expulsion of the Member from membership in the Association; or any other fit remedy or penalty. Buskell: Notice of Hearing 7
8 TAKE FURTHER NOTICE that if the Hearing Panel concludes that the Respondent did commit any or all of the contraventions alleged by the Association in the Notice of Hearing, the Hearing Panel may pursuant to By-law assess and order any investigation and prosecution costs determined to appropriate and reasonable in the circumstances. DATED at Calgary, this 16 th day of April, Warren Funt Vice President, Western Canada Investment Dealers Association of Canada Suite 1325, 650 West Georgia Street Vancouver, BC V6B 4N9 Buskell: Notice of Hearing 8
INVESTMENT DEALERS ASSOCIATION OF CANADA RANDALL WAYNE REIFFENSTEIN
INVESTMENT DEALERS ASSOCIATION OF CANADA IN THE MATTER OF: THE BY-LAWS OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA AND RANDALL WAYNE REIFFENSTEIN NOTICE OF HEARING TAKE NOTICE that pursuant to Part
More informationINVESTMENT DEALERS ASSOCIATION OF CANADA
INVESTMENT DEALERS ASSOCIATION OF CANADA IN THE MATTER OF: THE BY-LAWS OF THE INVESTMENT DEALERS ASSOCIATION OF CANADA AND PAMELA ANN BREYER NOTICE OF HEARING TAKE NOTICE that pursuant to Part 10 of By-law
More informationRe Scerbo. The Rules of the Investment Industry Regulatory Organization of Canada 2017 IIROC 57
Re Scerbo IN THE MATTER OF: The Rules of the Investment Industry Regulatory Organization of Canada and Gennaro Scerbo 2017 IIROC 57 Investment Industry Regulatory Organization of Canada Hearing Panel (Manitoba
More informationIN THE MATTER OF THE HEALTH PROFESSIONS ACT, R.S.A. 2000, c.h-7;
IN THE MATTER OF THE HEALTH PROFESSIONS ACT, R.S.A. 2000, c.h-7; AND IN THE MATTER OF A HEARING INTO THE CONDUCT OF ACSW Member, A MEMBER OF THE ALBERTA COLLEGE OF SOCIAL WORKERS; AND INTO THE MATTER OF
More informationMETROLINX ADMINISTRATIVE FEE DISPUTE RESOLUTION PROCESS RULES OF PRACTICE
METROLINX ADMINISTRATIVE FEE DISPUTE RESOLUTION PROCESS RULES OF PRACTICE Overview The Metrolinx Act, 2006, gives Metrolinx ( Metrolinx ) the authority to establish a system of administrative fees to ensure
More informationAppendix C Resolution of a Complaint against an Employee
Appendix C Resolution of a Complaint against an Employee Appendix C: Resolution of a Complaint Against an Employee As outlined in the Union College Sexual Misconduct Policy, an individual who wishes to
More informationNASD REGULATION, INC. OFFICE OF HEARING OFFICERS
NASD REGULATION, INC. OFFICE OF HEARING OFFICERS : DEPARTMENT OF ENFORCEMENT, : : Complainant, : Disciplinary Proceeding : No. C02980051 v. : : J. ALEXANDER SECURITIES, INC. : Hearing Panel Decision (BD
More informationIn re: ) ) NOTICE OF CHARGES John E. Marshall, M.D., ) AND ALLEGATIONS; ) NOTICE OF HEARING Respondent. )
BEFORE THE NORTH CAROLINA MEDICAL BOARD In re: ) ) NOTICE OF CHARGES John E. Marshall, M.D., ) AND ALLEGATIONS; ) NOTICE OF HEARING Respondent. ) The North Carolina Medical Board ( Board ) has preferred
More informationAPPENDIX B TAP 31 RESOLUTION PROCESS
I. General Principles APPENDIX B TAP 31 RESOLUTION PROCESS a. Administration: The TAP 31 Resolution Process is administered by the University s Title IX Coordinator and the University s Deputy Title IX
More informationPurpose: Policy: The Fair Hearing Plan is not applicable to mid-level providers. Grounds for a Hearing
Subject: Fair Hearing Plan Policy #: CR-16 Department: Credentialing Approvals: Credentialing Committee QM Committee Original Effective Date: 5/00 Revised Effective Date: 1/03, 2/04, 1/05, 11/06, 12/06,
More informationif accepted, FINRA will not
FINANCIAL INDUSTRY REGULATORY AUTHOR?TY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052711301 TO: RE: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Dwarka Persaud ("David
More informationComplainant v. the College of Dental Surgeons of British Columbia
Health Professions Review Board Suite 900, 747 Fort Street, Victoria, BC V8W 3E9 Complainant v. the College of Dental Surgeons of British Columbia DECISION NO. 2015-HPA-221(a) September 13, 2016 In the
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF TRADITIONAL CHINESE MEDICINE PRACTITIONERS AND ACUPUNCTURISTS OF ONTARIO
DISCIPLINE COMMITTEE OF THE COLLEGE OF TRADITIONAL CHINESE MEDICINE PRACTITIONERS AND ACUPUNCTURISTS OF ONTARIO PANEL: Henry Maeots Chairperson, Public Member Xianmin Yu Barrie Haywood Professional Member
More informationSOLANO COMMUNITY COLLEGE DISTRICT SMOKING ON CAMPUS 4215
SOLANO COMMUNITY COLLEGE DISTRICT SMOKING ON CAMPUS 4215 POLICY: The Solano Community College District is committed to providing a safe and healthy environment for its students, employees, and visitors.
More informationMedical gap arrangements - practitioner application
Medical gap arrangements - practitioner application For services provided in a licensed private hospital or day hospital facility (Private Hospital) only. Please complete this form to apply for participation
More informationA resident's salary will continue, during the time they are exercising the Grievance Procedure rights, by requesting and proceeding with a hearing.
GRIEVANCE PROCEDURE GUIDELINES FOR RESIDENTS (WCGME) Residents employed by the Wichita Center for Graduate Medical Education are entitled to participate in the Grievance Procedure in the event an Adverse
More informationFitness to Practise Committee Rules and Practice Direction Revised September 2012
Fitness to Practise Committee Rules and Practice Direction Revised September 2012 Table of Contents RULE 1 DEFINITIONS 1 RULE 2 ELECTRONIC HEARINGS 2 RULE 3 DUTY OF EXPERT 4 PRACTICE DIRECTION 5 No. 1
More informationCollege of Massage Therapists of British Columbia
College of Massage Therapists of British Columbia #304-1212 West Broadway, Vancouver, British Columbia, Canada V6H 3V1 SECOND FURTHER AMENDED CITATION TO APPEAR Section 37 of the Health Professions Act,
More informationAPPENDIX A. THE UNIVERSITY OF OKLAHOMA Student Rights and Responsibilities Code PROCEDURES
APPENDIX A THE UNIVERSITY OF OKLAHOMA Student Rights and Responsibilities Code PROCEDURES 2017-2018 STUDENT RIGHTS AND RESPONSIBILITIES CODE PROCEDURES - 1 I. Procedural Flexibility The Chair of the Hearing
More informationNASD REGULATION, INC. OFFICE OF HEARING OFFICERS
NASD REGULATION, INC. OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, Disciplinary Proceeding No. C10980025 v. KORY E. GUGLIELMINETTI HEARING PANEL (CRD #2586727), DECISION Morganville,
More informationCSA Briefing Note Regarding Joint Application against the University and Re-Commencing Collection of CFS/CFS-O Fees
CSA Briefing Note Regarding Joint Application against the University and Re-Commencing Collection of CFS/CFS-O Fees The CSA and University of Guelph undergraduate students have been members of the Canadian
More informationSENATE, No. 359 STATE OF NEW JERSEY. 217th LEGISLATURE PRE-FILED FOR INTRODUCTION IN THE 2016 SESSION
SENATE, No. STATE OF NEW JERSEY th LEGISLATURE PRE-FILED FOR INTRODUCTION IN THE 0 SESSION Sponsored by: Senator RICHARD J. CODEY District (Essex and Morris) Senator JOSEPH F. VITALE District (Middlesex)
More informationWORLDWIDE FLIGHT SERVICES PRIVACY SHIELD POLICY
WORLDWIDE FLIGHT SERVICES PRIVACY SHIELD POLICY The content of this document is the property of the WFS group 1 Worldwide Flight Services, Inc. ( WFS ) (together with its subsidiaries we, our, and us ),
More informationREGULATIONS OF THE PLYMOUTH BOARD OF HEALTH FOR TOBACCO SALES IN CERTAIN PLACES & SALE OF TOBACCO PRODUCTS TO MINORS
REGULATIONS OF THE PLYMOUTH BOARD OF HEALTH FOR TOBACCO SALES IN CERTAIN PLACES & SALE OF TOBACCO PRODUCTS TO MINORS A. Statement of Purpose: Whereas there exists conclusive evidence that tobacco smoke
More informationAct 443 of 2009 House Bill 1379
Act 443 of 2009 House Bill 1379 AN ACT TO PROVIDE FOR THE LICENSURE OF ALCOHOLISM AND DRUG ABUSE COUNSELORS; TO PROVIDE FOR THE REGISTRATION OF CLINICAL ALCOHOLISM AND DRUG ABUSE COUNSELOR SUPERVISORS;
More informationBIENNIAL REVIEW Compliance with the Drug-Free Schools and Communities Act. St. Johns River State College
BIENNIAL REVIEW Compliance with the Drug-Free Schools and Communities Act St. Johns River State College 2016-2018 The Drug-Free Schools and Communities Act of 1989, Public Law 101-226, requires that St.
More informationSection 8 Administrative Plan (revised January 2000) Chapter 22 # page 1
Appeals/Grievance Procedures General Policy Both applicants and tenants of the Section 8 Program have the right to appeal certain decisions rendered by the HA which directly affect their admission to,
More informationSupreme Court of the State of New York Appellate Division: Second Judicial Department D56435 L/hu
Supreme Court of the State of New York Appellate Division: Second Judicial Department D56435 L/hu AD3d ALAN D. SCHEINKMAN, P.J. WILLIAM F. MASTRO REINALDO E. RIVERA MARK C. DILLON FRANCESCA E. CONNOLLY,
More informationGDC Disclosure and Publication Policy
GDC Disclosure and Publication Policy 1 DISCLOSURE AND PUBLICATION POLICY TABLE OF CONTENTS PURPOSE... 4 THE LAW... 4 PUBLICATION OF FITNESS TO PRACTISE INFORMATION... 5 Publication of Conduct and Performance
More informationMIAMI CHILDREN S HOSPITAL POLICY AND PROCEDURE
ISSUED BY: Research PAGE: 1 of 6 REPLACES POLICY DATED: EFFECTIVE DATE: 08/09/2012 DISTRIBUTION: Departmentwide APPROVED BY: Andrews, April (SVP/CECO), BOD Audit and Compliance Committee, Perdomo, Jose
More informationWorkplace Health, Safety & Compensation Review Division
Workplace Health, Safety & Compensation Review Division WHSCRD Case No: WHSCC Claim No: Decision Number: 15240 Bruce Peckford Review Commissioner The Review Proceedings 1. The worker applied for a review
More informationSTATE OF FLORIDA BOARD OF MASSAGE THERAPY
STATE OF FLORIDA BOARD OF MASSAGE THERAPY DEPARTMENT OF HEALTH, Petitioner, v. CASE NO. 2015-26895 DANIEL C. KAELIN, L.M.T., Respondent. ADMINISTRATIVE COMPLAINT COMES NOW the Petitioner Department of
More informationDISCIPLINE COMMITTEE OF THE ONTARIO COLLEGE OF SOCIAL WORKERS AND SOCIAL SERVICE WORKERS
DISCIPLINE COMMITTEE OF THE ONTARIO COLLEGE OF SOCIAL WORKERS AND SOCIAL SERVICE WORKERS Indexed as: Ontario College of Social Workers and Social Service Workers v Renee Parsons, 2018 ONCSWSSW 15 Decision
More informationTeacher misconduct - Information for witnesses
Teacher misconduct - Information for witnesses Providing evidence to Professional Conduct Panel Hearings for the regulation of the teaching profession 1 Contents 1. Introduction 3 2. What is the process
More informationThese Rules of Membership apply in respect of all Products purchased by a Member from Sigma (and any Program Partner) on or after 1 February 2017.
Rules of Membership 1. Introduction These Rules of Membership apply in respect of all Products purchased by a Member from Sigma (and any Program Partner) on or after 1 February 2017. The previously published
More informationFULL REGISTRATION (365-DAY RULE EXEMPT) APPLICATION FOR PATHWAY 1
THE COLLEGE OF DENTAL HYGIENISTS OF BRITISH COLUMBIA Suite 600, 3795 Carey Road Telephone: (250) 383-4101 Victoria, British Columbia, V8Z 6T8 Facsimile: (250) 383-4144 www.cdhbc.com Email: cdhbc@cdhbc.com
More informationDriving and Epilepsy. When can you not drive? 1. Within 6 months of your last epileptic seizure.
Driving and Epilepsy Does epilepsy disqualify you from driving? It is important to note that having epilepsy does not automatically disqualify you from being legally permitted to drive in Ontario. In fact,
More informationCOLLEGE OF PHYSICIANS AND SURGEONS OF MANITOBA INQUIRY PANEL DECISION
COLLEGE OF PHYSICIANS AND SURGEONS OF MANITOBA INQUIRY PANEL DECISION INQUIRY: IC1595 DR. STEPHEN JOHN COYLE On April 25, 2013, a hearing was convened before an Inquiry Panel (the Panel) of the College
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF OPTOMETRISTS OF ONTARIO THE COLLEGE OF OPTOMETRISTS OF ONTARIO -AND-
DISCIPLINE COMMITTEE OF THE COLLEGE OF OPTOMETRISTS OF ONTARIO B E T W E E N: THE COLLEGE OF OPTOMETRISTS OF ONTARIO -AND- DR. EMAD ESKANDER, DR. KAR MAN CHEUNG, DR. SUZAN SARKIES, DR. VIVIAN LI NOTICE
More informationGraduate Student Academic Grievance Hearing Procedures. For the College of Education
Graduate Student Academic Grievance Hearing Procedures For the College of Education The Michigan State University Student Rights and Responsibilities (SRR) and the Graduate Student Rights and Responsibilities
More informationGeneral Terms and Conditions
General Terms and Conditions Revision history (November 2007) Date issued Replaced pages Effective date 11/07 ii, iii, 2, 4 11/07 11/06 all pages 11/06 01/06 all pages 01/06 02/05 ii, iii, 4, 7 8 02/05
More informationPOLICY ON SUBSTANCE ABUSE FOR FACULTY, STAFF, AND STUDENTS
University Policies and Procedures 07-01.10 POLICY ON SUBSTANCE ABUSE FOR FACULTY, STAFF, AND STUDENTS I. Policy Statement: The use of controlled substances and the abuse of alcohol present a serious threat
More informationCHAPTER 120: TOBACCO
CHAPTER 120: TOBACCO Section 120.01 Definitions 120.02 Jurisdiction 120.03 Prohibitions on sale or distribution of tobacco products 120.04 Licensing of tobacco products retailers 120.99 Penalty 120.01
More informationSTATE OF FLORIDA BOARD OF SPEECH-LANGUAGE PATHOLOGY AND AUDIOLOGY
STATE OF FLORIDA BOARD OF SPEECH-LANGUAGE PATHOLOGY AND AUDIOLOGY DEPARTMENT OF HEALTH, PETITIONER, v. CASE NO. 2018-05060 DARREN ALLEN KURTZER, Au.D., RESPONDENT. ADMINISTRATIVE COMPLAINT I Petitioner,
More informationApplication Instructions for:
Regular Mailing Address Courier Delivery Address Application Instructions for: MASSAGE THERAPIST LICENSURE FOR EXISTING PRACTITIONERS USE THIS APPLICATION ONLY IF YOU WERE AN EXITISTING PRACTITIONER ON
More informationALL DEAF.COM. Lawyer Settles Interpreter Case. April 9, 2004
ALL DEAF.COM April 9, 2004 A local lawyer has admitted violating the Americans with Disabilities Act by failing to provide a sign language interpreter to a deaf client. In a settlement reached prior to
More informationSTUDENT CAMPUS HEARING BOARD PROCEDURE
STUDENT CAMPUS HEARING BOARD The regular membership of the Student Campus Hearing Board consists of students, faculty, and staff members. DEFINITIONS Complainant: A person who filed a complaint. Moderator:
More informationCannabis Retail Store Licensing in Ontario. General Committee December 10, 2018
1 Cannabis Retail Store Licensing in Ontario General Committee December 10, 2018 Item 1 Item 2 Item 3 Item 4 Item 5 Item 6 Item 7 Item 8 Item 9 Item 10 Item 11 Item 12 Presentation Outline Federal Regulatory
More informationSection 32: BIMM Institute Student Disciplinary Procedure
Section 32: BIMM Institute Student Disciplinary Procedure Introduction Academic Development & Quality Assurance Manual This Student Disciplinary Procedure provides a framework for the regulation of BIMM
More informationParent/Student Rights in Identification, Evaluation, and Placement
Parent/Student Rights in Identification, Evaluation, and Placement The following is a description of the rights granted to students with a disability by Section 504 of the Rehabilitation Act of 1973, a
More informationSTATE OF FLORIDA BOARD OF MASSAGE-THERAPY
STATE OF FLORIDA BOARD OF MASSAGE-THERAPY DEPARTMENT OF HEALTH, Petitioner, v. CASE NO 2015-23103 TING ZHOU, L.M.T., Respondent. ADMINISTRATIVE COMPLAINT COMES NOW the Petitioner Department of Health and
More informationDISCIPLINE COMMITTEE OF THE COLLEGE OF PHYSIOTHERAPISTS OF ONTARIO COLLEGE OF PHYSIOTHERAPISTS OF ONTA RIO. - and
CPO File No. 2015-0113 BETWEEN: DISCIPLINE COMMITTEE OF THE COLLEGE OF PHYSIOTHERAPISTS OF ONTARIO COLLEGE OF PHYSIOTHERAPISTS OF ONTA RIO - and DA VID EVANS, Registration Number 10681 NOTICE OF HEARING
More informationDRUG-FREE UNIVERSITY COMMUNITY AND WORKPLACE
DRUG-FREE UNIVERSITY COMMUNITY AND WORKPLACE Overview The purpose of this statement is to comply with the federal Safe and Drug-Free Schools and Communities Act Amendment of 1989 and the Drug-Free Workplace
More information[Cite as Allen Cty. Bar Assn. v. Brown, 124 Ohio St.3d 530, 2010-Ohio-580.]
[Cite as Allen Cty. Bar Assn. v. Brown, 124 Ohio St.3d 530, 2010-Ohio-580.] ALLEN COUNTY BAR ASSOCIATION v. BROWN. [Cite as Allen Cty. Bar Assn. v. Brown, 124 Ohio St.3d 530, 2010-Ohio-580.] Attorneys
More informationHuman Resources All Personnel BP 4020 DRUG AND ALCOHOL-FREE WORKPLACE
BP 4020 DRUG AND ALCOHOL-FREE WORKPLACE The Governing Board believes that the maintenance of drug and alcohol-free workplaces is essential to school and district operations. No employee shall unlawfully
More informationPRINCE GEORGE S COUNTY PUBLIC SCHOOLS Board of Education Upper Marlboro, Maryland Policy No. BOARD OF EDUCATION POLICY
PRINCE GEORGE S COUNTY PUBLIC SCHOOLS Board of Education Upper Marlboro, Maryland BOARD OF EDUCATION POLICY 4200 Policy No. PERSONNEL Employee and 4-205 Appeals Before the Board of Education I. Purpose
More informationExhibit 2 RFQ Engagement Letter
Exhibit 2 RFQ 17-25 Engagement Letter The attached includes the 6 page proposed engagement letter to be used by HCC. ENGAGEMENT LETTER Dear: [Lead Counsel/Partner] We are pleased to inform you that your
More informationPOLICY ON SEXUAL HARASSMENT FOR STUDENTS CHARLESTON SOUTHERN UNIVERSITY
POLICY ON SEXUAL HARASSMENT FOR STUDENTS CHARLESTON SOUTHERN UNIVERSITY I. POLICY STATEMENT: Charleston Southern University ("the University") is committed to maintaining a Christian environment for work,
More informationCONDITIONS OF COMMUNITY SUPERVISION
CASE NUMBER THE STATE OF TEXAS IN THE COUNTY CRIMINAL COURT V AT LAW NUMBER SPN OF HARRIS COUNTY, TEXAS CONDITIONS OF COMMUNITY SUPERVISION On this the day of, 2012, the defendant in the above-styled case
More informationHow to Conduct a Public Hearing
How to Conduct a Public Hearing FRCOG Workshop Selectboard Essentials January 10, 2013 Presented by Joel B. Bard All materials Copyright 2012 Kopelman and Paige, P.C. All rights reserved. Introduction
More information15 March 2012 Millbank Tower, Millbank, London SW1P 4QP
Report on an investigation into complaint no against the London Oratory School 15 March 2012 Millbank Tower, Millbank, London SW1P 4QP Investigation into complaint no against the London Oratory School
More informationAlcohol and Drug Testing for Employees with Commercial Drivers' License
Alcohol and Drug Testing for Employees with Commercial Drivers' License Revised: 02/12 FSS/PPS 04.05.04 Issue No. 5 Reviewer: Director, Facilities Management Effective Date: 01/01/96 (E4Y) Review Date:
More informationWISCONSIN DEPARTMENT OF SAFETY AND PROFESSIONAL SERVICES
WISCONSIN DEPARTMENT OF SAFETY AND PROFESSIONAL SERVICES Wisconsin Department of Safety and Professional Services Access to the Public Records of the Reports of Decisions This Reports of Decisions document
More informationPROTECTING THE SPORT: GUIDE TO FEDERATION RULE ENFORCEMENT AND HEARING PROCESS
PROTECTING THE SPORT: GUIDE TO FEDERATION RULE ENFORCEMENT AND HEARING PROCESS COVER PHOTO:SHAWN MCMILLEN INTRODUCTION This pamphlet has been drafted to provide general information and to help you understand
More informationThe State of Maryland Executive Department
The State of Maryland Executive Department Executive Order 01.01.1991.16 State of Maryland Substance Abuse Policy WHEREAS, Substance abuse is a serious national crisis which has had a detrimental effect
More informationREGULATION TO ENSURE THE SANITARY AND SAFE OPERATION OF ADULT-USE MARIJUANA ESTABLISHMENTS AND THE SALE OF ADULT-USE MARIJUANA
REGULATION TO ENSURE THE SANITARY AND SAFE OPERATION OF ADULT-USE MARIJUANA ESTABLISHMENTS AND THE SALE OF ADULT-USE MARIJUANA A. Statement of Purpose and Authority: Whereas, Massachusetts voters approved
More informationNOTICE OF APPEAL OR PETITION
NOTICE OF APPEAL OR PETITION State Personnel Board 801 Capitol Mall Sacramento, CA 95814 Dismissal Demotion Suspension ( days) Medical Demotion / Termination Automatic Resignation (AWOL) Set Aside Resignation
More informationSEXUAL HARASSMENT POLICY
SEXUAL HARASSMENT POLICY Policy No.: 750 Date: 10-19-11 Supersedes: Date: APPLICABLE TO FOLLOWING GROUPS: All Employees POLICY Sexual harassment is unlawful and such prohibited conduct exposes both the
More informationJudicial & Ethics Policy
Judicial & Ethics Policy Copyright (c) 2017. National Board for Respiratory Care, Inc. All Rights Reserved. (The designations NBRC, CRT, RRT, CPFT and RPFT are federally registered service marks of the
More informationGRIEVENCE PROCEDURES INFORMAL REVIEWS AND HEARINGS
GRIEVENCE PROCEDURES INFORMAL REVIEWS AND HEARINGS OVERVIEW Both applicants and participants have the right to disagree with and appeal, certain decisions of the PHA that may adversely affect them. PHA
More informationRules of Procedure for Screening and Hearing Meetings
Page: 1 of 15 SYNOPSIS: The purpose of this document is to provide rules of procedure for Screening and Hearing meetings conducted pursuant to the City s Parking Administrative Monetary Penalties By-law
More informationl. The North Carolina Board of Pharmacy is a body duly organized under the laws
' l BEFORE THE NORTH CAROLNA BOARD OF PHARMACY n the Matter of: TMOTHY H. CLARK (License No. 12114 CONSENT ORDER THS MATTER came on to be considered at a prehearing conference (hereinafter, "Conference"
More informationPUBLIC HOUSING: THE GRIEVANCE PROCEDURE
PUBLIC HOUSING: THE GRIEVANCE PROCEDURE IMPORTANT This brochure applies to tenants in public housing developments operated by the Hawaii Public Housing Authority ( HPHA ). This material is based upon work
More informationB.C. Cannabis PRIVATE RETAIL LICENSING GUIDE Applications and Operations
B.C. Cannabis PRIVATE RETAIL LICENSING GUIDE Applications and Operations Copyright February 2018, Province of British Columbia. All rights reserved. This material is owned by the Government of British
More informationNon-Executive Member Disciplinary Review Process
Non-Executive Member Disciplinary Review Process Regions should seek to resolve all disputes involving people in an amicable fashion. Compromise is preferable to more severe forms of resolution. Almost
More informationGrievance Procedure Last Revision: April 2018
Grievance Procedure Last Revision: April 2018 INTRODUCTION The purpose of this Grievance Procedure ( Procedure ) is to implement a system by which the Housing Opportunities Commission of Montgomery County
More informationAPPLICATION FOR CHILD SUPPORT SERVICES NON PUBLIC ASSISTANCE APPLICANT/RECIPIENT
Warren County CSEA PO Box 440 500 Justice Drive Lebanon, OH 45036 (513) 695 1580 (800) 644 2732 Name of Applicant: Address: City, State, & Zip: Date: Application Number: APPLICATION FOR CHILD SUPPORT SERVICES
More informationDISTRICT ADMINISTRATIVE RULE
JCEB-R Student Hearing Procedure 8/16/18 DISTRICT ADMINISTRATIVE RULE RATIONALE/OBJECTIVE: A student may be subject to Long-Term Suspension or Expulsion, as defined below, for the violation of school rules
More information(4) Be as detailed as necessary to provide history of work performed; and:
www.omarfigueroa.com Page 66 of 278 (4) Be as detailed as necessary to provide history of work performed; and: (A) Include information adequate to identify any associated manufacturing facility (e.g.,
More information1. These regulations have been adopted in recognition of the following fundamental sporting imperatives:
Bye-Law to Article 5: SANCTIONED AND UNSANCTIONED EVENTS A Introduction 1. These regulations have been adopted in recognition of the following fundamental sporting imperatives: 1.1 The governance of the
More informationCDL Drivers Controlled Substance and Alcohol Policy
CDL Drivers Controlled Substance and Alcohol Policy Section 1. General. It is the purpose of this policy to encourage an enlightened viewpoint toward alcoholism and other drug dependencies as behavioral/medical
More information2. The Screening Officer may extend the time to request a review of the Administrative Penalty under extenuating circumstances.
Page: 1 of 13 SYNOPSIS: The purpose of this document is to provide rules of procedure for Screening and Hearing meetings conducted pursuant to the City s Parking Administrative Monetary Penalties By-law
More informationAttachment 5 2. SCOPE OF DOCUMENT
Attachment 5 CITY MANAGER S POLICIES AND PROCEDURES FOR ADMINISTRATIVE HEARINGS CONDUCTED UNDER CHAPTER ONE OF THE SAN DIEGO MUNICIPAL CODE July 19, 2010 1. PURPOSE The purpose of this document is to establish
More informationB. To protect, in particular, the health of vulnerable populations including children and those with chronic health conditions; and
SMOKE-FREE ORDINANCE-Draft The Kandiyohi County Board of Commissioners does ordain: SECTION 1: PURPOSE 1.01 Purpose. This Ordinance is enacted to protect the health, safety, and general welfare of the
More informationORDINANCE NO
To Enact New Chapter 765 Tobacco Sales of the Codified Ordinances of the City of Worthington to Require a License for the Sale of Tobacco and Prohibiting Tobacco Sales to Persons Under Twenty-One. WHEREAS,
More informationRESOLUTION AGREEMENT
RESOLUTION AGREEMENT Paul Public Charter School OCR Case No. 11 12 1444 Paul PCS (the School) agrees to fully implement this (Agreement) to resolve OCR Complaint No. 11 12 1444. GENERAL PROVISIONS 1. This
More informationBritish American Tobacco Snus Marketing Standards
British American Tobacco Snus Marketing Standards British American Tobacco p.l.c. believes there is sufficient scientific evidence to support a less restrictive regime for the advertising and promotion
More informationLimited English Proficiency Services
Policy 366 Limited English Proficiency Services 366.1 PURPOSE AND SCOPE This policy provides guidance to members when communicating with individuals with limited English proficiency (LEP) (42 USC 2000d).
More informationPHYSIOTHERAPY ACT AUTHORIZATION REGULATIONS
c t PHYSIOTHERAPY ACT AUTHORIZATION REGULATIONS PLEASE NOTE This document, prepared by the Legislative Counsel Office, is an office consolidation of this regulation, current to July 11, 2009. It is intended
More informationEnergy Cost Order Masters Energy Inc. Application for a Well Licence Normandville Field. Costs Award. August 11, 2009
Energy Cost Order 2009-007 Masters Energy Inc. Application for a Well Licence Normandville Field Costs Award August 11, 2009 ENERGY RESOURCES CONSERVATION BOARD Energy Cost Order 2009-007: Masters Energy
More informationNursing and Midwifery Council: Fitness to Practise Committee. Substantive Order Review Hearing
Nursing and Midwifery Council Fitness to Practise Committee Substantive Order Review Hearing 5 April 2019 Nursing and Midwifery Council, 61 Aldwych, London WC2B 4AE Name of registrant: NMC PIN: Valerie
More informationTitle IX of the Education Amendments of 1972
Title IX of the Education Amendments of 1972 Discrimination-Free Educational Environment The U.S. Department of Education, its Office for Civil Rights and Carroll College believe that providing all students
More informationIN THE CIRCUIT COURT OF THE ELEVENTH JUDICIAL CIRCUIT IN AND FOR MIAMI-DADE COUNTY, FLORIDA AFFIDAVIT IN SUPPORT OF ARREST WARRANT
IN THE CIRCUIT COURT OF THE ELEVENTH JUDICIAL CIRCUIT IN AND FOR MIAMI-DADE COUNTY, FLORIDA STATE OF FLORIDA ) ) COUNTY OF MIAMI-DADE ) AFFIDAVIT IN SUPPORT OF ARREST WARRANT BEFORE ME, appeared Affiant
More informationDrug-free Workplace Staff Rights and Responsibilities
Cherokee County School District, hereinafter school district, is committed to providing a safe work environment and to fostering the well-being and health of its employees. This commitment is jeopardized
More informationREPUBLIC OF SOUTH AFRICA IN THE LABOUR COURT OF SOUTH AFRICA, JOHANNESBURG JUDGMENT. t/a LINKSFIELD PHARMACY
REPUBLIC OF SOUTH AFRICA Not Reportable IN THE LABOUR COURT OF SOUTH AFRICA, JOHANNESBURG JUDGMENT Case no: JR86/2011 In the matter between: DORRAINN BAILIFF INVESTMENTS (PTY) LTD t/a LINKSFIELD PHARMACY
More informationDEPARTMENT OF HEALTH AND MENTAL HYGIENE COMMISSIONER OF HEALTH AND MENTAL HYGIENE
DEPARTMENT OF HEALTH AND MENTAL HYGIENE COMMISSIONER OF HEALTH AND MENTAL HYGIENE ----------------- NOTICE OF ADOPTION OF AMEDMENT OF CHAPTER 10 OF TITLE 24 OF THE RULES OF THE CITY OF NEW YORK In compliance
More informationCommanding Officer, Marine Corps Air Station, Cherry Point Distribution List
UNITED STATES MARINE CORPS MARINE CORPS AIR STATION POSTAL SERVICE CENTER BOX 8003 CHERRY POINT, NORTH CAROLINA 28533-0003 ASO 1746. 2A w/ctt.l MCCS AIR STATION ORDER 17 4 6. 2A w/6t 1.. From: To: Subj:
More informationGOC GUIDANCE FOR WITNESSES IN FITNESS TO PRACTISE COMMITTEE HEARINGS
GOC GUIDANCE FOR WITNESSES IN FITNESS TO PRACTISE COMMITTEE HEARINGS The purpose of this guidance document The purpose of this guidance is to explain what happens if you are asked by the General Optical
More informationDepartment of Legislative Services Maryland General Assembly 2009 Session
Senate Bill 261 Judicial Proceedings Department of Legislative Services Maryland General Assembly 2009 Session FISCAL AND POLICY NOTE Revised (The President, et al.) (By Request - Administration) SB 261
More informationSONOMA COUNTY LAW ENFORCEMENT CHIEFS ASSOCIATION
SONOMA COUNTY LAW ENFORCEMENT CHIEFS ASSOCIATION PROTOCOL: 97-3 ADOPTED: 08/08/1997 REVISED: 02/10/2006 05/03/2007 SUBJECT: PURPOSE: MEDICAL MARIJUANA To provide for consistency among law enforcement agencies
More information