Proceeding Number 2008011719501

Hearing Panel Decision in Department of Enforcement v. Tina Newman

March 30, 2011

Respondent is barred from associating with any FINRA member firm in any capacity for conversion of firm funds, in violation of NASD Conduct Rule 2110. In addition, Respondent is ordered to pay the costs of this proceeding.

View Decision (PDF 57 KB)