Common use of AND WHEREAS Clause in Contracts

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:that the Respondent

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:,

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the RespondentRespondent in the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] July 30, 2021 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:,

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based UPON READING the Settlement Agreement, the written submissions of Staff and upon hearing the admissions oral submissions of Staff and Counsel for the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] September 11, 2009 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent between 2008 and 2012:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat between January 2013 and August 2014:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] June 19, 2009 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [datethe [ ] of [ ], 2009 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] July 7, 2021 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the admissions basis of the Respondentfacts and the contraventions admitted by the Respondent in the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the admissions basis of the Respondentfacts and contraventions that the Respondent has admitted in the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] June , 2013 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] November 16, 2010 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] MFDA (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] January 11, 2017 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the admissions basis of the Respondentfacts admitted by the Respondent in Part IV of the Settlement Agreement and the contraventions admitted by the Respondent in Part V of the Settlement Agreement, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] October 15, 2014 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the basis of the admissions of made by the RespondentRespondent in the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon AND WHEREAS on the admissions basis of the Respondentfacts admitted in Part IV of the Settlement Agreement and the contraventions admitted in Part V of the Settlement Agreement, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the admissions basis of the Respondentfacts admitted in Part IV of the Settlement Agreement and the contraventions admitted in Part V of the Settlement Agreement, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the RespondentRespondent in the Settlement Agreement, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] May 10, 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat between at least October 21, 2009 and August 21, 2014 the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the basis of the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] December 8, 2010 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] November 20, 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent, from June 1, 2013 to April 30, 2016:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] June 18, 2008 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based UPON reviewing the Settlement Agreement and the Notice of Settlement Hearing, and upon hearing submissions from the admissions Respondent and for Staff of the Respondent, the Hearing Panel is of the opinion that:MFDA;

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] MFDA (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent contravened the By-laws, Rules or Policies of the MFDA as follows:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat between April 23, 2012 and June 13, 2014, the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent contravened the By-laws, Rules or Policies of the MFDA as follows:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] March 27, 2018 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon on the basis of admissions of made by the RespondentRespondent as set out in the Settlement Agreement, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent engaged in the following misconduct:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] November 18, 2010 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. sections 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion thatthat the Respondent:

AND WHEREAS. the Respondent entered into a settlement agreement with Staff of the MFDA, dated [date] May 30, 2010 (the “Settlement Agreement”), in which the Respondent agreed to a proposed settlement of matters for which the Respondent could be disciplined pursuant to ss. 20 and 24.1 of MFDA By-law No. 1; AND WHEREAS based upon the admissions of the Respondent, the Hearing Panel is of the opinion that: