Proceeding Number 2009017918001

Hearing Panel Decision in Department of Enforcement v. John D. Rausch

May 10, 2012

Respondent is barred from associating in any capacity with any FINRA-registered firm for (1) failing to respond timely and completely to requests for information and documents, and failure to appear for an OTR, in violation of FINRA Rules 8210 and 2010; and (2) engaging in unapproved outside business activities and submitting a false annual compliance certification to conceal this activity from his firm, in violation of NASD Rules 3030 and 2110. In addition, Respondent is ordered to pay costs.

View Decision (PDF 86 KB)