Proceeding Number 2007010450601
Amended Hearing Panel Decision in Department of Enforcement v. Dennis Brown
July 14, 2009
For failing to respond in any manner to FINRA staff requests for information, in violation of Conduct Rule 2110 and Procedural Rule 8210, Respondent is barred from associating with any FINRA member firm in any capacity. In light of the bar, no additional sanctions are imposed for Respondent’s failure to notify his firm of outside business activities, in violation of Conduct Rules 3030 and 2110.
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