Proceeding Number 20080120960

Hearing Panel Decision in Department of Enforcement v. Rebecca A. Reichman

October 5, 2009

The Respondent violated Procedural Rule 8210 and Conduct Rule 2110 by failing to provide testimony and information to FINRA in connection with FINRA's investigation of her member firm and her resignation from the firm. For this violation, the Respondent is barred from associating with any member in any capacity.


This decision has been appealed.

View Decision (PDF 112 KB)