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.

View Decision (PDF 60 KB)