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.