Proceeding Number 2007009181101

Hearing Panel Decsion in Department of Enforcement v. Dallas R. Seagraves, II

October 21, 2010

For willfully failing to update his Form U4 on a timely basis, in violation of Conduct Rule 2110 and IM-1000-1, Respondent is suspended from associating with any FINRA member firm in all capacities for three months, barred from associating with any FINRA member firm in any principal capacity, and is fined $5,000.  For sales literature violations of Conduct Rules 2110 and 2210, Respondent is suspended from associating with any FINRA member firm in any capacity for an additional six months, barred from associating with any member firm in any principal capacity, fined $5,000, and assessed hearing costs.

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