Proceeding Number 2007007377801
Hearing Panel Decision in Department of Enforcement v. Noble B. Trenham
March 18, 2010
For structuring cash transactions to avoid federal reporting requirements in violation of Rule 2110, acting in a principal capacity while suspended in violation of Rule 2110, and willfully failing to update a Form U4 to disclose a customer complaint in violation of Article V, Section 2(c) of the FINRA By-Laws and Rule 2110, Respondent is barred in all capacities.
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