Proceeding Number 2006003834901

Hearing Panel Decision in Department of Enforcement v. Moustafa M. Zayed

December 11, 2008

Formerly registered representative and principal suspended in all capacities for nine months and fined $10,000 for three willful failures to disclose material information on U4 Forms, in violation of NASD Conduct Rule 2110 and IM-1000-1. Respondent also assessed costs.

 

This decision has been appealed.

View Decision (PDF 68 KB)