Proceeding Number 2009017439601

Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka

March 22, 2012

Respondent Timothy Joseph Golonka violated NASD Conduct Rule 2110 when he participated in four telephone calls in which associates impersonated customers in order to obtain confidential information from the customers’ insurance company.  For doing so, Respondent is suspended from associating with any FINRA member firm in any capacity for nine months, fined $7,500, and assessed costs.

 

This decision has been appealed.

View Decision (PDF 63 KB)