MFDA announces disciplinary proceeding in respect of Collin Spithoff News provided by Share this article Share this article TORONTO, Dec. 23, 2020 /CNW/ - The Mutual Fund Dealers Association of Canada ("MFDA") has commenced disciplinary proceedings in respect of Collin John Spithoff ("Respondent"). In its Notice of Hearing dated December 22, 2020 ("Notice of Hearing"), Staff of the MFDA alleges that the Respondent engaged in the following conduct contrary to the By-laws, Rules and/or Policies of the MFDA: Allegation #1: Between September 2015 and April 2018, the Respondent engaged in securities related business that was not carried on for the account and through the facilities of the Member when he recommended, sold, or facilitated the sale of at least $1,270,000 of promissory notes to at least 14 clients, contrary to the Member's policies and procedures and MFDA Rules 1.1.1, 1.1.2, 2.5.1 and 2.1.1.