Proceeding Number E072005017201

Hearing Panel Decision in Department of Enforcement v. John B. Busacca III

January 16, 2009

Respondent John B. Busacca III is suspended in all principal capacities for six months and fined $25,000 for failing to exercise reasonable supervision, in violation of Rules 3010 and 2110, and is fined $5,000 for permitting his firm to employ an unregistered Chief Compliance Officer, in violation of Rules 1022(a) and 2110.

 

This decision has been appealed.

View Decision (PDF 58 KB)