Proceeding Number 2007008724701

Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson

June 8, 2012

For selling unregistered securities in violation of Section 5 of the Securities Act and NASD Rule 2110, Respondent is fined $10,000, ordered to disgorge $35,269 in commissions, and shall only be employed by a member firm that agrees to subject Respondent to heightened supervision regarding compliance with Section 5 of the Securities Act for a one-year period. In addition, Respondent is ordered to pay the costs of this proceeding.

View Decision (PDF 61 KB)