Proceeding Number 2010021303301

Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak

March 29, 2012

Respondents Douglas A. Troszak and his firm, North Woodward Financial Corp., violated Article V, Section 2 of the FINRA By-Laws, NASD Rule 2110, and FINRA Rule 2010, by failing to amend Troszak’s Form U4 to disclose that he was subject to a federal tax lien.  Respondents violated FINRA Rules 8210 and 2010 by failing to provide documents and information requested by FINRA staff.

 

This decision has been appealed.

View Decision (PDF 91 KB)