Proceeding Number 2008016437801

Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III

October 25, 2012

Respondent Hugh Vincent Murray III is suspended in all supervisory capacities for 90 days and ordered to requalify by examination as a principal before serving in any supervisory capacity for failing to supervise the filing of Forms U4 by two registered representatives, in violation of NASD Rules 3010 and 2110, and FINRA Rule 2010.  The Hearing Panel finds that Respondent did not fail to supervise the allegedly excessive trading by a registered representative.

 

This decision has been appealed.

View Decision (PDF 81 KB)