An irreverent Wall Street Blog
by Bill Singer

A Stockbroker's Survival Guide: Felonies And Misdemeanors -- what to do

July 24, 2012

I regularly cover FINRA U4 criminal disclosure cases in my Forbes' "Street Sweeper" column. If you are a registered person who has recently been arrested for, charged with, pled to, or been found guilty of a criminal matter, please see these recent articles for guidance on how these issues impact your registration and filing obligations:

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