Proceeding Number 2005003295801

Amended Extended Hearing Panel Decision in Department of Enforcement v. Andrew W. Quinn

March 19, 2009

Respondent is barred from associating with any FINRA member in any capacity for sending unauthorized correspondence on firm letterhead that contained misleading and unwarranted statements and exposed his employer to liability, in violation of Rule 2110.

View Decision (PDF 109 KB)