Proceeding Number E8A2004072203

Hearing Panel Decision in Department of Enforcement v. Jonathan M. Skiba

July 6, 2009

 

For submitting inaccurate annuity applications and failing to submit required annuity replacement forms to his firm in circumvention of firm procedures regarding annuity replacements in four customer accounts, in violation of Rule 2110, Respondent is suspended in all capacities for one year, fined $5,000, required to pay restitution of $14,909.49, and assessed costs.

 

This decision has been called for review.