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Statutory Disqualification Index
SEC and FINRA
CASES OF NOTE
Links to SEC and FINRA Statutory Disqualification Cases Statutory Disqualification Definitions
U4/U5/RE-3 Cases for Discussions of Disqualifying Disclosures
NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.
Underlying Disqualification
Felony
DUI
Controlled Substance
Tax Issues
Forgery
Theft
Misdemeanor
Insider Trading
Permanent Injunction
Willfulness
Bankruptcy
Cherry Picking
Factors Considered
Recency
Treatment/Rehabilitation
Age of Applicant
Sponsor's Regulatory History
Taping Rule
Remote State
Was there a conviction
Prior misconduct
Adequacy of plan
Van Dusen
Non-Registered Affiliation
Final Decision
Denial
Approval after hearing
Approval w/o hearing
SEC appeal/remand
Sections
Enforcement Actions
 


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