Proceeding Number 2009018944001
Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II
February 23, 2012
Respondent is barred for: (1) making material misstatements and omissions to a customer, in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and NASD Rules 2120 and 2110, and FINRA Rules 2020 and 2010; (2) misusing customer funds, in violation of NASD Rule 2110 and FINRA Rule 2010; and (3) failing to respond to a request for documents, in violation of FINRA Rules 8210 and 2010.
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