Proceeding No. 20070094454

Hearing Panel Decision in Department of Enforcement v. Sam Aubrey Foreman, Jr.

October 31, 2008

Registered representative settled a customer complaint away from his member employer and guaranteed that customer against loss. Respondent is fined $10,000 and suspended from associating with any FINRA member in any capacity for 30 business days for violating NASD Conduct Rules 2330(e) and 2110. Respondent is also assessed costs.

 

This decision has been appealed.

View Decision (PDF 57 KB)