Proceeding Number 2006005523401
Hearing Panel Decision in Department of Enforcement v. Nathan Lorne
February 10, 2009
Respondent is barred from associating with any FINRA member firm for converting funds from an organization of which he was treasurer, in violation of Conduct Rule 2110. Respondent is also assessed costs. In light of the bar, no additional sanctions are imposed for Respondent’s failure to notify his firm of outside business activities, in violation of Conduct Rules 3030 and 2110, or his false statement to his employer concerning outside business activities, in violation of Conduct Rule 2110.
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