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.

View Decision (PDF 45 KB)