Proceeding Number 2007009472201
Hearing Panel Decision in Department of Enforcement v. Warren William Wall
December 30, 2009
Respondent violated Conduct Rule 2110 and IM-1000-1 by filing a Form U5 that misrepresented and omitted material facts concerning the termination of a registered representative. For this violation, the Respondent is fined $15,000, suspended from associating in any capacity with any member firm for three months, suspended from associating in any principal capacity with any member firm for nine months, and required to re-qualify by examination before he re-enters the securities industry in any principal capacity.
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