Proceeding Number 2010021916601

Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen

December 30, 2011

Respondent violated NASD Rule 2110 and IM-1000-1, and FINRA Rules 1122 and 2010 by willfully failing to disclose, on 36 Forms U4, an SEC injunction against him and the revocation of his accountant’s license.  For this violation, the Respondent was barred from associating with any member firm in any capacity.


This decision has been appealed.

View Decision (PDF 47 KB)