Proceeding Number 2007009848801
Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco
December 1, 2009
Respondent is suspended from association with any FINRA member firm in any capacity for 10 business days, and is fined $10,000, for misusing confidential customer information in violation of Conduct Rule 2110.
This decision has been appealed.
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