Proceeding Number 2011030192201

Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III

April 15, 2013

Respondent is barred from associating with any member firm in any capacity for violating FINRA Conduct Rule 2010 by converting funds from his former employer. Respondent also is ordered to pay restitution and the costs of this proceeding.

 

This decision has been appealed.

View Decision (PDF 302 KB)