Proceeding Number 2009017496501
Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott
October 12, 2009
The Respondent violated Procedural Rule 8210 and Conduct Rule 2010 by failing to provide testimony and information to FINRA in connection with FINRA's investigation of his member firm. For this violation, the Respondent is barred from associating with any member in any capacity.
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