Proceeding Number 2009019369302

Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng

June 14, 2012

Respondent is suspended for two years from associating with any member firm in any capacity and fined $25,000 for failing to notify his employer firm in writing, that he had undisclosed outside brokerage accounts at two other member firms, and for failing to notify those firms that he was associated with a FINRA member firm, in violation of NASD Conduct Rules 3050(c) and 2110, and FINRA Rule 2010. Respondent is also ordered to pay costs.

 

This decision has been appealed.

View Decision (PDF 54 KB)