Hearing Panel Decision in Department of Enforcement v. Respondent

Proceeding Number 2008015270701

June 9, 2011

Respondent exercised discretion in a customer’s account without written authorization from the customer, in violation of NASD Conduct Rules 2510(b) and 2110.  This Decision shall serve as a Cautionary Action Letter to Respondent.

View Decision (PDF 51 KB)