Proceeding Number E3A20050037-02
Hearing Panel Decision in Department of Enforcement v. R. Matthew Shino
September 22, 2009
For late filing and failing to file Rule 3070 reports, in violation of NASD Conduct Rules 3070 and 2110, and late filing and failing to file amendments to Forms U4 and U5, in violation Article V, Sections 2(c) and 3(b) of the NASD By-Laws and NASD Conduct Rule 2110, Respondent is suspended for nine months in all principal capacities. For permitting a branch office with more than three representatives to transact an options business without having a Registered Options Principal or Limited Principal – General Securities Sales Supervisor as the principal supervisor of the office, in violation of NASD Conduct Rules 2860(b)(20)(C) and 2110, Respondent is suspended for an additional three months in all principal capacities.
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