Proceeding Number 2006005178801

Hearing Panel Decision in Department of Enforcement v. Harrison A. Hatzis

March 22, 2010

Respondent violated Membership and Registration Rule 1013, Conduct Rule 2110, and IM-1000-1 by providing inaccurate, incomplete, and misleading information to FINRA during the membership application process. For this violation, Respondent is barred from associating with any member firm in any capacity.

 

This decision has been appealed.

 

View Decision (PDF 111 KB)