Proceeding Number 2008012026601

Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn D. Baldwin

June 9, 2009

 

Respondent CMG Institutional Trading, LLC is expelled from FINRA membership, and Respondent Shawn D. Baldwin is barred from associating with any FINRA member firm in any capacity, for providing incomplete responses to certain written requests for information, failing to respond to other written requests for information, and failing to appear for an on-the-record interview, in violation of Rules 8210 and 2110.

 

This decision has been appealed.

View Decision (PDF 91 KB)