Proceeding Number 2009019297801

Hearing Panel Decision in Department of Enforcement v. Dame Cisse

April 2, 2012

Respondent is barred from associating with any FINRA member firm in any capacity for attempting to convert firm funds, in violation of FINRA Conduct Rule 2010. In addition, Respondent is ordered to pay the costs of this proceeding.

View Decision (PDF 46 KB)