Proceeding Number 2006005696601

Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc.

May 6, 2009

 

Respondent violated NASD IM-10100 and Rule 2110 by failing to produce documents as ordered by an NASD arbitration panel. For this violation, Respondent is censured and fined $35,000.

 

This decision has been appealed.

View Decision (PDF 80 KB)