Proceeding Number 2008015934801
Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky
March 30, 2012
Respondent churned a customer’s account, made quantitatively unsuitable recommendations, and effected unauthorized transactions. Respondent is barred and ordered to disgorge $11,741.78. In addition, Respondent is ordered to pay costs.
This decision has been appealed.
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