Proceeding Number 2010023044101
Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci
January 18, 2013
Respondent Jeffrey S. Geraci made an unsuitable recommendation to a customer, in violation of NASD Conduct Rule 2310, NASD IM-2310-2, and FINRA Conduct Rule 2010. The Hearing Panel suspends Geraci for two business days and orders that he pay restitution of $50,000, plus accrued interest.
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