Proceeding Number 20100248883-01

Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama

November 30, 2012

Respondent mishandled customer securities and funds, in violation of FINRA Conduct Rule 2010 and NASD Conduct Rule 2110. The Hearing Panel suspended Respondent from associating with any member in any capacity for 18 months and fined him $7,500.

View Decision (PDF 61 KB)