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.

View Decision (PDF 57 KB)