Proceeding Number 2010021621201
Hearing Panel Decision in Department of Enforcement v. Michael Pino
March 15, 2013
Respondent exercised discretion in a customer’s accounts without written authority, in violation of NASD Rules 2510(b) and 2110, and FINRA Rule 2010. Respondent is suspended in all capacities for 30 business days, fined $5,000, and ordered to pay costs.
This decision has been appealed.
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