Proceeding Number 2005000835801

Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier

May 8, 2009

 

For purchasing and selling securities without prior written notice to their firm in violation of Conduct Rules 3040 and 2110, Respondent Harry Friedman is suspended in all capacities for 45 days, and Respondent Joseph Schnaier is suspended in all capacities for 90 days. In addition, each Respondent is fined $77,500. Respondents are also assessed costs.

 

This decision has been appealed.

View Decision (PDF 98 KB)