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.

Christopher Michael Minor
AWC/2008012469101

After his member firm instructed him not to trade options in his personal account at the firm, Minor opened an options account with another member firm.  Minor failed to provide notice to his firm of his options account at another firm or disclose it on a compliance questionnaire that he submitted electronically. Minor failed to provide written notice to the other firm of his association with a member firm or disclose it on a new account form that he submitted electronically.

Christopher Michael Minor: No Fine inh light of financial status; Suspended 2 months

Tags: Outside Accounts