Proceeding Number 2006003825001
Hearing Panel Decision in Department of Enforcement v. Joseph William Hagan
December 19, 2008
For violating Conduct Rule 2110 by causing his commissions to be paid to his spouse to avoid an IRS garnishment order, Respondent is barred from associating with any member firm in his capacity as a general securities principal, suspended for three months in all capacities, and fined $5,000. For violating Conduct Rule 2110 and IM-1000-1 by willfully failing to disclose his tax liens on his Form U4s, Respondent is concurrently suspended for three months from associating with any member firm in all capacities and fined $5,000.
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