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.

View Decision (PDF 58 KB)