Products representative suspended and fined for allegedly falsely certifying that he had personally completed the continuing education required to hold an insurance license
Another person had completed 15 hours of insurance continuing education on his behalf.
FINRA Rule 2010
Former securities representative charged with allegedly wilfully failing to amend his Form U4 to disclose a felony charge
This is a complaint and not an AWC
FINRA Rule 1122 FINRA Rule 2010 FINRA By-Laws, Article 5
Former securities representative barred for allegedly refusing to provide documents and information
FINRA Rule 2010 FINRA Rule 8210
Former products representative barred for allegedly refusing to provide document and information
FINRA Rule 2010 FINRA Rule 8210
| Unless otherwise noted all respondents accepted and consented to FINRA’s findings without admitting or denying them. |