Proceeding Number 2008014712201

Hearing Panel Decision in Department of Enforcement v. Kirk L. Gravelle

May 5, 2011

For mismarking customer orders as unsolicited and causing his firm’s records to be inaccurate, in violation of NASD Conduct Rules 3110 and 2110, Respondent is suspended for five business days, fined $10,000 and required to re-qualify by examination.

View Decision (PDF 42 KB)