An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for Statutory Disqualification (18 results)
- Statutorily Disqualified Person Cited For Acting In Associated Capacities
March 16, 2013 - SEC Approves Return To Wall Street Of Statutorily Disqualified Broker
November 26, 2012 - Stockbroker Disqualified Amid Borrowing, Liens And Judgments
November 14, 2012 - Stockbroker Sidesteps Felony But Trips Over Misdemeanor
October 9, 2012 - Unpaid Credit Card Bills Result In Stockbroker's Disqualification
September 13, 2012 - Shoplifting $40 From Macy's Pinches Stockbroker's Career
September 13, 2012 - FINRA Says Stockbroker Willfully Failed To Disclose Bankruptcy
August 17, 2012 - A Stockbroker's Survival Guide: Felonies And Misdemeanors -- what to do
July 24, 2012 - Former Citi Stockbroker Fined And Suspended In Form U4 Felony Disclosure Case
July 24, 2012 - Bankrupt Stockbroker Winds Up Statutorily Disqualified
July 18, 2012 - Stockbroker's DUI Puts Career In The FINRA Ditch
July 17, 2012 - A Stockbroker's Undisclosed Arrest Sets Off A Regulatory Cavalcade Of Disaster
June 27, 2012 - A Persistent DWI Offender's Brokerage Career Is On The Skids
April 27, 2012 - Stockbroker Convicted Of Motor Vehicle Felony Poses Reporting Problems For Brokerage Employer
April 13, 2012 - Statutory Disqualification for Undisclosed Tax Liens Sustained by FINRA, SEC, and Federal Court
February 21, 2012 - Stockbroker's Better Buy At Best Buy Leads to Industry Bar And Disqualification
December 16, 2011 - Unpaid $10,000 Casino Marker Leads to Stockbroker's Suspension and Disqualification
November 3, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011