Proceeding Number 2008014015901

Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare

September 18, 2012

Respondent is barred from associating with any member in any capacity for providing false information and testimony to FINRA in connection with its investigation of his trading, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010, as described in the Second Cause of Action. The Hearing Panel dismissed the First Cause of Action because the Department of Enforcement failed to prove by a preponderance of the evidence that Respondent exercised discretion without written authorization, in violation of NASD Conduct Rules 2510(b) and 2110.

 

This decision has been appealed.

View Decision (PDF 102 KB)