Proceeding Number 2008012531501
Hearing Panel Decision Department of Enforcement v. Kevin Scott Pound
August 19, 2010
Respondent is barred from associating with any member firm in any capacity for engaging in private securities transactions, in violation of Conduct Rules 3040 and 2110. In light of the bar, no additional sanctions are imposed for the Respondent's failure to timely respond to FINRA's requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110.
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