Updating information on my u4

  Frankly, it’s a stark and critical distinction. §§ 78c(a)(39)(F) and 78o-3(g)(2), a finding of wilffulness would subject Mathis to a “statutory disqualification,” or bar, from associating with any FINRA member firm – and such a bar is set in motion notwithstanding that a FINRA Hearing Panel merely imposed a monetary fine and/or a lesser suspension.According to §§ 3(a)(39)(F) and 15A(g)(2) of the Exchange Act, 15 U.  respondents or inexperienced defense lawyers frequently fall into the trap of agreeing to settle a Form U4 non-disclosure allegation for a modest fine and suspension — not realizing that when they agreed to a finding of “willful” non-disclosure that in addition to the fine and suspension, the respondent would be deemed disqualified from securities industry association (and, by extension, possibly to other endeavors).

Seemingly, reporting these types of events would appear rather cut and dry, and lead all advisors to make the necessary disclosures; but unfortunately, this is not always the case.In accordance with the terms of the AWC, FINRA imposed upon Vincent a ,000 fine and a six-month suspension from association with any FINRA member in any capacity.As noted in Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court ("Street Sweeper" February 21, 2012), which reported about a case involving some similar considerations about undisclosed tax liens, I noted: SIDE BAR: Why the big stink over whether Mathis intentionally/willfully or inadvertently engaged in the cited omissions about the liens on his Forms U4?Investors who woke up on October 20, 1987, would have been hard-pressed to envision the U.stock market not only posting positive returns for the year (the Dow had been up by as much as 40% year-to-date, prior to the crash) but also returning 371% over the next decade—and 617% by the end of the secular bull market in 1999.

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