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.
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