Proceeding Number 2010023044101

Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci

January 18, 2013

Respondent Jeffrey S. Geraci made an unsuitable recommendation to a customer, in violation of NASD Conduct Rule 2310, NASD IM-2310-2, and FINRA Conduct Rule 2010. The Hearing Panel suspends Geraci for two business days and orders that he pay restitution of $50,000, plus accrued interest.

View Decision (PDF 98 KB)