Proceeding Number 2007008812801
Hearing Panel Decision in Department of Enforcement v. Avidan Danny Fishman
September 18, 2008
Respondent is suspended in all capacities from associating with any FINRA member for six months and fined $2,500 for his willful failure to disclose his criminal history on his Form U4 and his employer’s annual compliance forms, in violation of Article V, Section 2(c) of the FINRA By-Laws, Conduct Rule 2110, and IM-1000-1, and he is concurrently suspended for one month and fined $2,500 for failing to disclose his outside business activities, in violation of Conduct Rules 3030 and 2110.
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