Proceeding No. 20060052598-01

Amended Hearing Panel Decision in Dapartment of Enforcement v. John Joseph Plunkett

January 4, 2011

Respondent John Joseph Plunkett is suspended for two years and fined $20,000 for taking his firm’s books and records at the time of his resignation from the firm, in violation of NASD Conduct Rule 2110. Respondent is suspended for an additional six months and fined an additional $5,000 for failing to respond to a request for information, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. The suspensions shall be served consecutively. Respondent is also ordered to pay costs.

 

This decision has been called for review.

View Decision (PDF 76 KB)