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.
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