Proceeding Number 2007009082902
Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton
June 5, 2009
For willfully failing to disclose on his Form U4 two suspensions and a revocation of his license to practice law, in violation of Rule 2110 and IM-1000-1, Respondent is suspended from associating with any member firm in any capacity for one year and fined $5,000. Respondent is also assessed costs.
This decision has been appealed.
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