| THE SECURITIES ACT | ) |
Order No. 3149 |
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| Section 8(1) | ) |
November 27, 2000 |
DAVID WAYNE FINLEY
WHEREAS:
(A) A hearing (the "Hearing") was held by The Manitoba Securities Commission (the "Commission") on January 10, 11, 12, 13, 14 and 24, 2000 and October 3, 2000 pursuant to a Notice of Hearing dated August 11, 1999 and a Statement of Allegations of Staff dated August 11, 1999, to consider:
(1) Whether or not it was in the public interest pursuant to subsection 8(1) of the Securities Act (the "Act") to suspend or cancel the registration of David Wayne Finley ("Finley") as a branch manager and salesman;
(2) Whether or not it is in the public interest that Finley pay the costs of the hearing; and
(3) Such further and other matters and the making of such further and other orders as the Commission may deem appropriate.
(B) The Commission issued Reasons for Decision with respect to the Hearing dated June 27, 2000 and November 23, 2000.
IT IS ORDERED:
1. THAT pursuant to subsection 8(1) a written reprimand will be placed in Finley’s registration file.
2. THAT pursuant to subsection 8(1), Finley enroll in and successfully complete the Canadian Securities Institute Conduct and Practices Handbook Course examination on or before May 23, 2001.
3. THAT Finley pay to the Commission costs in the amount of $4,000.00 to be paid on or before May 23, 2001.
BY ORDER OF THE COMMISSION
Director, Legal and Enforcement