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.
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