Proceeding Number 2006006890801

Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin

October 14, 2008

Respondent CMG is expelled and Respondent Baldwin, its President, is barred for violation of numerous NASD, SEC, and MSRB Rules, as alleged in a 14-cause Complaint. Respondents also assessed costs.

 

This decision has been appealed.

View Decision (PDF 85 KB)