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.

Edgar Davis Mock III
AWC/2009016258201

Registered Principal Mock prepared false documents relating to his member firm’s annual reports of its supervisory control system and annual certification of its compliance and supervisory processes for several years, which he later provided to FINRA. Mock backdated the documents to make them appear that they were prepared and executed on earlier dates.

Edgar Davis Mock III : Fined $5,000; Suspended 1 year in Principal capacity only

Tags: Supervision