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1) FAILURE TO FOLLOW FIRM POLICY REQUIRING THE USE OF AN EMAIL ADDRESS HOSTED BY THE FIRM FOR ALL SECURITIES-RELATED COMMUNICATIONS.
2) PARTICIPATING IN THE VIOLATION OF THE FIRM'S PRIVACY POLICY BY HAVING KNOWLEDGE A REGISTERED ASSOCIATE SHARED CUSTOMER INFORMATION WITH AN UNAFFILIATED RIA THAT HAD NO BUSINESS RELATIONSHIP WITH THE CUSTOMER OR THE FIRM.
3) KNOWINGLY ENGAGING IN AN OUTSIDE BUSINESS ACTIVITY AFTER THE FIRM DISAPPROVED THE ACTIVITY AND MS. CONSOLI CONFIRMED SHE WAS NO LONGER PARTICIPATING IN THE ACTIVITY.
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.