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.

View Decision (PDF 88 KB)