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.
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