Proceeding Number 2010023719601

Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney

September 15, 2011

The Respondent is barred from associating with any member firm in any capacity for violating NASD Conduct Rule 2110 by falsifying an expense report and submitting fake supporting documentation (including a forged letter) to obtain funds from his employer to which he was not entitled. Respondent also is ordered to pay the costs of this proceeding.


This decision has been appealed.

View Decision (PDF 57 KB)