Proceeding Number 2006003672401

Hearing Panel Decision in Department of Enforcement v. Patrick F. Harte, Jr.

August 31, 2009

Respondent is suspended in all principal capacities for six months, fined $10,000, and ordered to re-qualify as a principal before functioning in any principal capacity, for failing to supervise registered representatives engaged in the sale of unregistered securities, in violation of NASD Conduct Rules 3010 and 2110.

View Decision (PDF 122 KB)