Hearing Panel Decision in Department of Enforcement v. Respondent 1 and Respondent 2
Proceeding Number 2009017798902
January 25, 2013
The Department of Enforcement failed to prove that Respondents directed a registered representative to delete or falsely alter firm records, or that Respondent 1 deleted or falsely altered firm records, as charged in the Amended Complaint. The Amended Complaint is dismissed.
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