Proceeding Number 20080138685
Hearing Panel Decision in Department of Enforcement v. Ron William Howell
November 22, 2011
For unregistered sales of securities, in violation of NASD Conduct Rule 2110, Respondent Ron William Howell is suspended in all capacities for three months and fined $7,500. For failure to supervise a registered representative, failure to maintain adequate written supervisory procedures with respect to one of his firm’s types of business, and failure to implement adequate supervisory controls over his own account activities as a producing manager, in violation of NASD Conduct Rules 3010, 3012, and 2110, Howell is fined an additional $5,000 and suspended in all principal capacities for three months, to run consecutively with the suspension in all capacities. Howell is also ordered to pay costs.
|View Decision||(PDF 93 KB)|