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.
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