Proceeding Number 2009018068701

Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt

October 17, 2011

Respondent violated FINRA Conduct Rule 2010 by using the name, address, and social security number of a customer to cosign a student loan for his daughter without the customer's knowledge or authorization. Respondent also violated FINRA Conduct Rule 2010 and NASD Conduct Rule 2110 by submitting false expense reports, including fabricated supporting documentation, to his member firm. For these violations, Respondent is barred from associating with any member in any capacity. Respondent is also assessed costs. 

 

This decision has been appealed.

View Decision (PDF 66 KB)