Proceeding Number 2010025181001

Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard

May 6, 2014

Respondent is barred for failing to provide documents and for failing to provide on-the-record investigative testimony, in violation of FINRA Rules 8210 and 2010, and is ordered to pay costs. In light of the bar, no further sanctions are imposed for Respondent’s violation of FINRA Rules 3270 and 2010 by engaging in an outside business activity without providing prior written notice to his employing member firm.

 

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 182 KB)