Hearing Panel Decision in Department of Enforcement v. Respondent

Decision Number 2007007989901

May 4, 2010

The Department of Enforcement did not prove by a preponderance of the evidence that Respondent failed to maintain high standards of commercial honor and just and equitable principles of trade by taking control of an insurance policy, facilitating its sale with forged and falsified documents, and retaining the proceeds of the sale, in violation of Conduct Rule 2110.  Accordingly, the Hearing Panel finds that Respondent did not violate Conduct Rule 2110, and dismisses the Complaint.

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