Proceeding Number 2008015934801

Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky

March 30, 2012

Respondent churned a customer’s account, made quantitatively unsuitable recommendations, and effected unauthorized transactions. Respondent is barred and ordered to disgorge $11,741.78. In addition, Respondent is ordered to pay costs.

This decision has been appealed.

View Decision (PDF 90 KB)