Common use of TERMS OF SETTLEMENT Clause in Contracts

TERMS OF SETTLEMENT. 25. The Respondent agrees to the following terms of settlement: i. The Respondent shall pay a fine in the amount of $7,500, pursuant to section 24.1.2(b) of MFDA By-law No. 1; ii. The Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of MFDA By-law No. 1; and iii. A representative of the Respondent shall attend in person at the Settlement Hearing.

TERMS OF SETTLEMENT. 2537. The Respondent agrees to the following terms of settlement: i. The i) the Respondent shall pay a fine in the amount of $7,500, pursuant to section 24.1.2(b) of MFDA By-law No. 15,000; ii. The ) the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of MFDA By-law No. 1; and1,000; iii. A representative of ) the Respondent shall attend in person at the Settlement Hearing; and iv) the Respondent shall in the future comply with all MFDA By-laws, Rules and Policies, and all applicable securities legislation and regulations.

TERMS OF SETTLEMENT. 2520. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,500, 2,500 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The (b) the Respondent shall pay costs in the amount of $2,500, 1,500 pursuant to section s. 24.2 of MFDA By-law No. 1; (c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of (d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2527. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 15,000 pursuant to section 24.1.2(bRule 24.1.1(b) of MFDA By-law No. 1No.1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1No.1; c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2526. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,5004,000, pursuant to section 24.1.2(b24.1.1(b) of MFDA By-law No. 1; ii. The (b) the Respondent shall pay $2,000 in respect of the costs in of the amount investigation and settlement of $2,500this matter, pursuant to section 24.2 of MFDA By-law No. 1; and iii. A representative of (c) the Respondent shall attend in person at the Settlement Hearingfuture comply with MFDA Rules 2.1.1 and 2.3.1.

TERMS OF SETTLEMENT. 2526. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,500, 5,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1;, payable as follows: ii. The Respondent i. $500 shall pay costs in the amount of $2,500, pursuant to section 24.2 of MFDA By-law No. 1; and iii. A representative be paid upon acceptance of the Respondent shall attend in person at settlement by the Settlement Hearing.Hearing Panel;

TERMS OF SETTLEMENT. 2545. The Respondent agrees to the following terms of settlement: i. (a) The Respondent shall pay a fine in the amount of $7,5005,000 pursuant to MFDA By-Law No. 1, section 24.1.1(b); (b) The Respondent shall be permanently prohibited from conducting securities related business in any capacity, pursuant to section 24.1.2(b24.1.1(e) of MFDA By-law No. 1; ii. The Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of MFDA By-law Law No. 1; and iii. A representative of the (c) The Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2514. The Respondent agrees to the following terms of settlement: i. The the Respondent shall pay a fine in the amount of $7,5002,500, pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The the Respondent shall pay costs in the amount of $2,500, pursuant to section s. 24.2 of MFDA By-law No. 1; and; iii. A representative of the Respondent shall attend in person at the Settlement Hearing; and iv. the Respondent shall in future comply with Rule 2.1.1.

TERMS OF SETTLEMENT. 2523. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 10,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1No.1; c) the Respondent shall in the future comply with MFDA Rules 1.1.2, 2.1.1, and 2.5.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2542. The Respondent agrees to the following terms of settlement: i. a) The Respondent shall pay a fine in the amount of $7,500, 10,000 pursuant to section 24.1.2(bs. 24.1.1.(b) of MFDA By-law By- Law No. 1; ii. b) The Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of MFDA By-law By- Law No. 1; and iii. A representative of the c) The Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2538. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,5005,000.00, pursuant to section 24.1.2(b24.1.1(b) of MFDA By-law No. 1; ii. The (b) the Respondent shall pay costs be permanently prohibited from conducting securities related business in any capacity while in the amount of $2,500employ of, or in association with, any MFDA Member, pursuant to section 24.2 24.1.1(e) of MFDA By-law No. 1; and; iii. A representative of (c) the Respondent shall attend in person at not pay any costs of the Settlement HearingMFDA’s investigation or of this proceeding.

TERMS OF SETTLEMENT. 2522. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,5005,000.00, pursuant to section 24.1.2(bSection 24.1.1(b) of MFDA By-law No. 1; ii. The (b) the Respondent shall pay costs in the amount of $2,5002,500.00, pursuant to section 24.2 of MFDA By-law No. 1; and iii. A representative of the Respondent shall attend in person at the Settlement Hearing.Section

TERMS OF SETTLEMENT. 2524. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 10,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No.1; b) the Respondent shall pay costs in the amount of $2,500 pursuant to s. 24.2 of MFDA By-law No. 1; ii. The c) the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of future comply with MFDA By-law No. 1Rule 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 25. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 10,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1; c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2520. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,500, 6,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The (b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1; (c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of (d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2515. The Respondent agrees to the following terms of settlement: i. The the Respondent shall pay a fine in the amount of $7,5002,500, pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The the Respondent shall pay costs in the amount of $2,500, pursuant to section s. 24.2 of MFDA By-law No. 1; and; iii. A representative of the Respondent shall attend in person at the Settlement Hearing; and iv. the Respondent shall in future comply with Rule 2.1.1.

TERMS OF SETTLEMENT. 2519. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 7,500 pursuant to section 24.1.2(b) 24.1.1 of MFDA By-law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1; c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2519. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,5002,000, pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,5001,000, pursuant to section s. 24.2 of MFDA By-law No. 1; and; iii. A representative of c) the Respondent shall attend in person at the Settlement Hearing, by teleconference or in person; and d) the Respondent shall in future comply with MFDA Rule 2.1.1.

TERMS OF SETTLEMENT. 2518. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,500, 25,000 pursuant to section s. 24.1.2(b) of MFDA By-By law No. 1; ii. The (b) the Respondent shall pay costs in the amount of $2,500, 5,000 pursuant to section s. 24.2 of MFDA By-By law No. 1; and; iii. A representative of (c) the Respondent shall attend in person at the Settlement Hearing.future comply with MFDA Rule 2.5.1

TERMS OF SETTLEMENT. 2518. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, pursuant to section 24.1.2(b24.1.1(b) of MFDA By-law No. 1; ii. The b) the Respondent shall pay $2,500 in respect of the costs in of the amount investigation and settlement of $2,500this matter, pursuant to section 24.2 of MFDA By-law No. 1; c) the Respondent shall in the future comply with MFDA Rules 2.1.1, 1.1.2 and 2.5.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 25. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 5,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. No 1; c) the Respondent shall in the future comply with MFDA Rules 2.3.1, 2.1.1, 2.10 and 1.1.2; and iii. A representative of d) the Respondent shall will attend in person at on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 25105. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,500, pursuant to section 24.1.2(b) of MFDA By-law No. 140,000; ii. The (b) the Respondent has made a payment of $50,000 to clients DH and EH as part of the terms of settlement of a civil claim against the Respondent by clients DH and EH; (c) the Respondent shall pay costs to the MFDA in the amount of $2,500, pursuant to section 24.2 of MFDA By-law No. 1; and10,000; iii. A representative of (d) the Respondent shall attend in person at the Settlement Hearing.future comply with MFDA Rules 2.2.1, 2.2.2, 2.2.3,

TERMS OF SETTLEMENT. 2527. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 12,500 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1No.1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1No.1; c) the Respondent shall in the future comply with MFDA Rule, 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2524. The Respondent agrees to the following terms of settlement: i. The the Respondent shall pay a fine in the amount of $7,5005,000, pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The the Respondent shall pay costs in the amount of $2,500, pursuant to section s. 24.2 of MFDA By-law No. 1; iii. the Respondent shall in the future comply with MFDA Rules 2.2.1(b) and 2.1.1; and iiiiv. A representative of the Respondent shall will attend in person at on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2531. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,5005,000, pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of future comply with MFDA By-law No. 1Rules 2.2.1(b) and 2.5.5(f); and iii. A representative of c) the Respondent shall will attend in person at on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2569. The Respondent agrees to the following terms of settlement: i. The the Respondent shall will pay a fine in the amount of $7,500, 100,000 pursuant to section 24.1.2(b) of MFDA By-law No. 1; ii. The the Respondent shall will pay costs in the amount of $2,500, 15,000 pursuant to section 24.2 of MFDA By-By- law No. 1; iii. the Respondent shall in the future comply with MFDA Rule 2.5.1 and Rule 2.1.1; and iiiiv. A representative a senior officer of the Respondent Member shall attend in person at on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2531. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 6,000 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1No.1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1No.1; c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2533. The Respondent Xx Xxxxxx agrees to the following terms of settlement: i. The Respondent a) Xx Xxxxxx shall pay a fine in the amount of $7,500, 40,000 pursuant to section s. 24.1.2(b) of MFDA By-law No. 1; ii. The Respondent b) Xx Xxxxxx shall pay costs in the amount of $2,500, 10,000 pursuant to section s. 24.2 of MFDA By-law No. 1; and iii. c) A representative of the Respondent Xx Xxxxxx shall attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2528. The Respondent agrees to the following terms of settlement: i. The the Respondent shall pay a fine in the amount of $7,5005,000, pursuant to section 24.1.2(b24.1.1(b) of MFDA By-law No. 1; ii. The the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 of MFDA By-law No. 1; and; iii. A representative of the Respondent shall attend in person at the Settlement HearingHearing via teleconference; and iv. the Respondent shall in future comply with MFDA Rule 2.1.1.

TERMS OF SETTLEMENT. 2520. The Respondent agrees to the following terms of settlement: i. The (a) the Respondent shall pay a fine in the amount of $7,5005,000.00, pursuant to section 24.1.2(bSection 24.1.1(b) of MFDA By-law No. 1No.1; ii. The (b) the Respondent shall pay costs in the amount of $2,5002,000.00, pursuant to section Section 24.2 of MFDA By-law No. 1No.1; (c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of (d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2529. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 8,750 pursuant to section 24.1.2(bs. 24.1.1(b) of MFDA By-law No. 1No.1; ii. The b) the Respondent shall pay costs in the amount of $2,500, 2,500 pursuant to section s. 24.2 of MFDA By-law No. 1No.1; c) the Respondent shall in the future comply with MFDA Rule 2.1.1; and iii. A representative of d) the Respondent shall will attend in person at person, on the date set for the Settlement Hearing.

TERMS OF SETTLEMENT. 2521. The Respondent agrees to the following terms of settlement: i. The a) the Respondent shall pay a fine in the amount of $7,500, 2,500 pursuant to section 24.1.2(bs.24.1.1(b) of the MFDA By-law Law No. 1; ii. The b) the Respondent shall pay costs in the amount of $2,500, pursuant to section 24.2 s.24.2 of the MFDA By-law Law No. 1; and iii. A representative of c) the Respondent shall attend in person at the Settlement Hearingfuture comply with Policy No. 3 and MFDA Rule 2.1.1(a).

TERMS OF SETTLEMENT. 2546. The Respondent agrees to the following terms of settlement: i. The the Respondent shall pay a fine in the amount of $7,500150,000, pursuant to section 24.1.2(b) of MFDA By-law No. 1; ii. The the Respondent shall pay costs in the amount of $2,50015,000, pursuant to section 24.2 of MFDA By-law Law No. 1; and iii. A representative a senior officer of the Respondent shall will attend in person at on the date set for the Settlement Hearing.