Proceeding Number 2010025350001

Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith

June 13, 2014

For exercising discretion without written authorization in violation of NASD Rule 2510 and FINRA Rule 2010, Respondent Roric Griffith is suspended from associating with any FINRA member in any capacity for 20 business days and fined $5,000. For engaging in unauthorized trading in violation of FINRA Rule 2010, Griffith is suspended from associating with any FINRA member firm in any capacity for two months and fined $5,000. The suspensions shall run concurrently. In addition, Griffith is ordered to pay costs.

 

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 111 KB)