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.
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