Hearing Panel Decision in Department of Enforcement v. Respondent
Proceeding Number 2005002244102
December 30, 2011
The Hearing Panel dismissed the Complaint following a hearing. The Department of Enforcement failed to prove by a preponderance of the evidence that Respondent violated NASD Conduct Rules 3010 and 2110 by failing to supervise a registered representative engaged in unsuitable variable annuity exchanges.
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