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.
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