(FINRA Case #2015048048801) Hank Mark Werner (CRD #1615495, Northport, New York) – An OHO (Office of Hearing Officers) decision became final in which Werner was fined $80,000; barred from association with any FINRA member in all capacities; ordered to pay $155,393.61, plus prejudgment interest, in restitution to a customer; and ordered to disgorge $10,030, plus prejudgment interest. The sanctions were based on findings that Werner willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Exchange 28 Disciplinary and Other FINRA Actions February 2018 Act Rule 10b-5, and violated FINRA Rule 2020 by churning and excessively trading three accounts belonging to a customer who was elderly, blind and in poor health. Continue reading
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