Hearing Panel Decision in Department of Enforcement v. Respondent
Decision Number 2006006259501
October 28, 2010
For engaging in an outside business activity without providing notice to his member firm, in violation of Rules 3030 and 2110, the Respondent is fined $3,750. Enforcement failed to prove that the Respondent participated in private securities transactions without prior written notice to his member firm, in violation of Rule 3040. Enforcement also failed to prove that the Respondent provided false information about his outside business activity to his member firm, in violation of Rule 2110. Accordingly, those charges are dismissed.
|View Decision||(PDF 69 KB)|