Proceeding Number 2006007544401

Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien

December 3, 2009

For participating in private securities transactions without prior written notice to and written permission from his member firm, in violation of Rules 3040 and 2110, and engaging in outside business activities without prior written notice to his member firm, in violation of Rules 3030 and 2110, Respondent is barred in all capacities.

 

This decision has been appealed.

View Decision (PDF 68 KB)