Proceeding Number 2007009403801

Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson

April 14, 2010

For making fraudulent misrepresentations in violation of Section 10(b) of the Securities Exchange Act of 1934, SEC Rule 10b-5, and NASD Conduct Rules 2120 and 2110; recommending unsuitable mutual fund switch transactions in violation of NASD Conduct Rules 2310 and 2110, and IM-2310-2; engaging in unauthorized trading in violation of NASD Conduct Rule 2110 and IM-2310-2; engaging in discretionary trading without written authorization in violation of NASD Conduct Rules 2510(b) and 2110; and causing the books and records of his firm to be inaccurate in violation of NASD Conduct Rules 3110 and 2110, Respondent Stephen W. Wilson is barred in all capacities.

 

This decision has been appealed

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