FINRA

WITHOUT ADMITTING OR DENYING THE FINDINGS, MIRON CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT HE MADE UNAUTHORIZED TRADES IN THE ACCOUNTS OF HIS MEMBER FIRM'S CUSTOMERS. THE FINDINGS STATED THAT MIRON DID NOT OBTAIN WRITTEN AUTHORIZATION TO MAKE THESE TRADES PRIOR TO EXECUTING THEM, AND THE FIRM DID NOT ALLOW REGISTERED REPRESENTATIVES TO HAVE CONTROL, EITHER FORMALLY OR INFORMALLY, OVER CLIENT ACCOUNTS. THE FINDINGS ALSO STATED THAT MIRON MISMARKED THE UNAUTHORIZED TRADES AS UNSOLICITED. BY NOT PROPERLY MARKING THE TRADES IN QUESTION AS SOLICITED, MIRON CAUSED THE FIRM'S BOOKS AND RECORDS TO BE INACCURATE. THE FINDINGS ALSO INCLUDED THAT MIRON WAS THE SUBJECT OF CREDIT COMPROMISES THAT REQUIRED REPORTING ON HIS FORM U4 WITHIN THE APPROPRIATE 30-DAY TIME PERIOD AFTER LEARNING OF THE FACTS AND CIRCUMSTANCES GIVING RISE TO THE AMENDMENT. IN EACH INSTANCE, MIRON WILLFULLY FAILED TO TIMELY UPDATE HIS FORM U4 BY DISCLOSING THE CREDIT COMPROMISE NO LATER THAN 30 DAYS AFTER LEARNING OF THE FACTS AND CIRCUMSTANCES.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All Capacities

3/7/2014

THIS AWC INCLUDES A FINDING THAT MIRON WILLFULLY FAILED TO TIMELY UPDATE HIS FORM U4 DISCLOSE MATERIAL FACTS.