Extended Hearing Panel Decision in Department of Enforcement v. Respondent

Proceeding Number 2008011684001

January 19, 2011

The Department of Enforcement failed to prove by a preponderance of the evidence that Respondent: (1) violated NASD Rules 1017 and 2110 by violating an interim restriction imposed by FINRA pending review and approval of a Rule 1017 application; and (2) violated NASD Rules 1022 and 2110 by failing to register as a Financial and Operations Principal. Accordingly, the Complaint is dismissed. 

View Decision (PDF 69 KB)