Proceeding Number 2007008370701
Hearing Panel Decision in Department of Enforcement v. Scott R. Tischler
May 8, 2009
Respondent violated Conduct Rules 2370 and 2110 by improperly borrowing $67,000 from a customer. For this violation, the Respondent was fined $5,000 and suspended from associating in any capacity with any member firm for one year.
This decision has been appealed.
|View Decision||(PDF 77 KB)|