Proceeding Number 2009018076101

Hearing Panel Decision in Department of Enforcement v. Blair A. West

July 26, 2012

For misusing funds in violation of FINRA Rule 2010, Respondent is barred. In light of the bar, no further sanctions are imposed for causing his firm to violate SEC Rule 15c2-4’s escrow requirements, in violation of Rule 2110.

 

This decision has been appealed.

View Decision (PDF 46 KB)