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NASD REGULATION, INC. OFFICE OF HEARING OFFICERS ___ : DEPARTMENT OF ENFORCEMENT, : : Complainant, : Disciplinary Proceeding : No. CAF010009 v. : : Hearing Officer AWH DANE STEPHEN FABER : (CRD #1020637), : Hearing Panel Decision Sausalito, CA : : Respondent. : May 3, 2002 ___: Registered representative (1) made material misrepresentations and omitted to state material facts to customers, in violation of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b5 thereunder, and NASD Conduct

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