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.

View Decision (PDF 45 KB)