Hearing Panel Decision in Department of Market Regulation v. Respondent

Decision Number 2005000171202

September 20, 2010

The Hearing Panel dismissed the Complaint following a hearing. The Department of Market Regulation failed to prove by a preponderance of the evidence that Respondent recommended and effected unsuitable and excessive trading activity, in violation of Conduct Rules 2310 and 2110 and IM-2310-2.

View Decision (PDF 134 KB)