Proceeding Number 2011027993301

Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune

April 23, 2014

Respondent Michael Earl McCune willfully failed to file timely disclosures on his Form U4 to reflect a bankruptcy and liens filed against him, in violation of NASD Rule 2110 and IM-1000-1, and FINRA Rules 1122 and 2010. The Hearing Panel suspends him from associating in any capacity with any FINRA member firm for six months and imposes a fine of $5,000 and costs. Respondent’s willful violations subject him to statutory disqualification.

 

This decision has been appealed or called for review. While the appeal or call for review is pending, the findings and sanctions imposed in this decision are subject to review and modification by FINRA or the SEC.

View Decision (PDF 95 KB)