Proceeding Number 2010023349601

Hearing Panel Decision in Department of Enforcement v. Denise M. Olson

January 4, 2013

Respondent is barred from associating with any member in any capacity for converting firm funds by falsifying an expense report, in violation of FINRA Conduct Rule 2010. One panelist dissented as to the sanction.

 

This decision has been appealed.

View Decision (PDF 65 KB)