IN THE MATTER OF: THE SECURITIES ACT
-and-
IN THE MATTER OF: DAVID WAYNE FINLEY
NOTICE OF HEARING
TAKE NOTICE that The Manitoba Securities Commission (the "Commission") will hold a public hearing (the "Hearing") at the Victoria Inn, 3550 Victoria Avenue West, Brandon, Manitoba commencing on Thursday, November 25, 1999 at 10:00 o’clock in the forenoon or so soon thereafter as the Hearing can be held, and continuing on Friday, November 26, 1999 at 9:30 o’clock in the forenoon or so soon thereafter as the Hearing can be held, and from day to day thereafter until the Hearing is concluded, to consider:
1. whether or not it is in the public interest to order, pursuant to subsection 8(1) of The Securities Act (the "Act"), that the registration of David Wayne Finley ("Finley") as a branch manager and salesman under the Act be suspended or cancelled;
2. whether or not it is in the public interest to order that Finley pay the costs of the investigation and hearing;
3. such further and other matters and the making of such further and other orders as the Commission may deem appropriate.
BY REASON OF THE FOLLOWING ALLEGATIONS:
By reason of the allegations set out in the Statement of Allegations of staff of the Commission dated August 11, 1999.
AND FURTHER TAKE NOTICE that a person or company attending or submitting evidence at the Hearing may be represented by counsel of its choice.
AND FURTHER TAKE NOTICE that any party to the proceedings may, at the Hearing, call witnesses and submit such evidence relevant to the Hearing as it may wish and, for that purpose, it may obtain from the Director, Legal and Enforcement of the Commission at Room 1130 – 405 Broadway, Winnipeg, Manitoba, a form or forms of summons to compel the attendance of witnesses.
AND FURTHER TAKE NOTICE that upon failure of any party to attend at the time and place aforesaid, the Hearing may proceed in that party’s absence and the Commission may make or give any decision or order as though that party were present.
DATED at Winnipeg, Manitoba this 11th day of August, 1999.
Director
TO: DAVID WAYNE FINLEY