Proceeding No. 2009016551301

Hearing Panel Decision in Department of Enforcement v. Freddy A. Medina

March 8, 2011

Respondent is censured and fined $10,000 for violating NASD Conduct Rules 2110 and 3110 by altering a customer account document and causing his employer firm to maintain a false record.  Respondent is also ordered to pay costs.

View Decision (PDF 45 KB)