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.
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