An irreverent Wall Street Blog
by Bill Singer
by Bill Singer
Topic List for U4 (34 results)
- Tax Liens And Judgments Snare Stockbroker
February 12, 2013 - Undisclosed Tax Liens And State Regulatory Action Trip Up Stockbroker
November 15, 2012 - Undisclosed Bankruptcies,Tax Liens and Judgments Derail Stockbroker
November 13, 2012 - Felony Strangulation Charge Gets Stockbroker Fined And Suspended
October 19, 2012 - Stockbroker Sidesteps Felony But Trips Over Misdemeanor
October 9, 2012 - Stockbroker Sanctioned For Nondisclosure Of Expunged Criminal Charges
October 1, 2012 - Unpaid Credit Card Bills Result In Stockbroker's Disqualification
September 13, 2012 - FINRA Says Stockbroker Willfully Failed To Disclose Bankruptcy
August 17, 2012 - Bankrupt Stockbroker Fined And Suspended By FINRA
August 15, 2012 - FINRA Trifecta Earns Stockbroker Fine And Suspension For Borrowing, U4, Private Securities Transactions
July 27, 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 - Pain Pills Put Stockbroker In A World Of FINRA Hurt
July 19, 2012 - Stockbroker's DUI Puts Career In The FINRA Ditch
July 17, 2012 - Broker Fined And Suspended For U4 Tax Lien, Credit, and License Disclosures
June 28, 2012 - A Stockbroker's Undisclosed Arrest Sets Off A Regulatory Cavalcade Of Disaster
June 27, 2012 - Failure To Report Email Customer Complaints About Unauthorized Trades Gets Broker Fined and Suspended
June 22, 2012 - Undisclosed Customer Settlement Checks Move Broker Into Regulatory Checkmate
May 10, 2012 - FINRA Says It Looked And Quacked Like A Felony And Must Be Disclosed
May 9, 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 - Broker Fined and Suspended For Untimely Disclosure Of Felony For Unpaid Child Support
March 26, 2012 - Stockbroker Fined and Suspended for Failure To Disclose Bogus Auto Theft Report Misdemeanor
March 2, 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 - A DWI Nearly Ends Stockbroker's Career
October 10, 2011 - Undisclosed IRS Liens on Form U4 Result in FINRA Fine and Suspension
September 28, 2011 - Lien on Me. FINRA Cites Two Brokers For Untimely Lien Disclosures on U4
September 8, 2011 - Amending Form U4 for Felony Charges and Convictions: One Broker's Tortured Path to FINRA Disciplinary Action
September 5, 2011 - FINRA Arbitration Claimant Stipulates to Defaming Former Employee
March 4, 2011 - Jesup & Lamont Loses FINRA Arbitration Over Defamation -- What Goes Round, Comes Round?
September 21, 2010 - Claimant Wins Expungement of Defamatory Disclosures at FINRA Arbitration
September 20, 2010 - Giving FINRA the Silent Treatment -- And Getting Barred for It.
May 7, 2010 - The One-Year Suspension that is a lifetime Bar
July 9, 2008