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VIOLATING INVESTMENT-RELATED STATUTES, REGULATIONS, RULES OR INDUSTRY STANDARDS OF CONDUCT.
Broker Comment
IN MAY 1994, FIRM DISCOVERED THAT IN 1990, I BORROWED APPROXIMATELY $12,000 FROM A FRIEND/CLIENT. THE CLIENT AGREED TO THE LOAN. THE MONEY WAS OBTAINED BY ENDORSING CHECKS FROM CLIENT ACCOUNT,. ALL FUNDS WERE REPAID.
5/1/1994
Regulatory
Final
Initiated By
NEW YORK STOCK EXCHANGE
Allegations
IN MAY 1994, FIRM DISCOVERED THAT I BORROWED APPROXIMATELY $12,000 FROM FRIEND/CLIENT. CLIENT HAD AGREED TO LOAN AND CHECKS REMOVED AND ENDORSED FROM CLIENT ACCOUNT. ALL FUNDS WERE REPAID.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.