Proceeding Number 2006005318801

Hearing Panel Decision in Department of Enforcement v. Kent M. Houston

December 17, 2008

Respondent is barred from associating with any FINRA member firm in any capacity for violating Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to FINRA’s requests for information issued pursuant to Rule 8210. In addition, Respondent is fined $100,000 and suspended for one year in all capacities for violating Conduct Rules 3030 and 2110 when he engaged in an outside business activity without providing prompt written notice of the activity to his employer.

 

This decision has been appealed.

View Decision (PDF 98 KB)