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NOTE:
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 and to the
entry of findings.
STATUTORY
DISQUALIFICATION INDEX
By
Bill Singer
Links
to SEC and FINRA Statutory Disqualification Cases
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SEC
Appeal of Reuben D. Peters and Peters Securities, Co. LP (NASD)
SEC
Appeal of Morton Kantrowitz (NASD)
SEC
Appeal of Harry M. Richardson (NASD)
visit
the statutory disqualification index for definitions
Also
see the U4/U5/RE-3 Cases for Discussions of Disqualifying Disclosures
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Underlying
Disqualification |
| Felony |
02001,
02002, 02003,
02004, 02009,
02010, 04005,
03001, 03002, 03007,
04017, 05008,
06002,
06012, 07001,
07002, 07003 |
| DUI |
02002,
02009, 02010,
03002, 04005,
06012.07003 |
| Controlled
Substance |
02001,
02003, 06002,07001 |
| Tax
Issues |
02004,
03001, 05008, 07002 |
| Forgery |
06002 |
| Misdemeanor |
02008, 06002,
05010,06001,07001 |
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Insider Trading
|
01001, |
| Permanent
Injunction |
01001,
02007, 03004,
03006, 05010 |
| Willfulness |
05008,
06001, 07002. 07003 |
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Factors
Considered |
| Recency
(arrest, conviction, injunction, etc.) |
01001,
02001,
02002, 02008,
02009, 03006,
03007, 04005,
05008, 06012,
07001 |
| Treatment/Rehabilitation |
02001,
02002, 02009,
04005, 06012,
07001. 07003 |
| Age
of Applicant |
01001,
04005 |
| Sponsor's
Regulatory History |
01001,
03001, 03006, 05010,
06001, 07001, 07002.
07003 |
| Taping
Rule |
02002, |
| Remote
State |
02002,
02004 |
| Was
there a "conviction" |
04017 |
| Prior
misconduct |
06002;
06012, 05010,
07001, 07002 |
| Adequacy
of plan of supervision/Proposed Supervisor |
06001,
06002,
06012, 07001,07002,
07003 |
| Van
Dusen (adverse subsequent events) |
07002 |
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Final Decision |
| Denial |
01001,
02001,
02002, 03006,
03007, 04005, 06002.
06012, 05008,
05010,07002 |
| Approval
after hearing |
02009,
03001, 04017, 03004,
07002, 07003 |
| Approval
w/o hearing |
02003,
02004, 02007,
02008, 02010,
03002, 06001,
07001
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| SEC
appeal/remand |
05008,
05010, 07002
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| THE ARTICLES PUBLISHED HERE REPRESENT THE PERSONAL VIEWS OF THE
AUTHOR, AND NOT NECESSARILY THE VIEWS OF ANY LAW FIRM OR ORGANIZATION
WITH WHICH HE MAY BE AFFILIATED. ALL STATEMENTS MADE IN THESE ARTICLES
ARE FOR GENERAL INFORMATION ONLY AND ARE NOT INTENDED TO PROVIDE,
NOR SHOULD THEY BE RELIED ON AS, LEGAL ADVICE. READERS MUST CONSULT
WITH QUALIFIED LEGAL COUNSEL BEFORE RELYING UPON ANY CONTENT CONTAINED
HEREIN. STATEMENTS MADE IN THESE ARTICLES MAY BE INCORRECT FOR YOUR
JURISDICTION OR AT THE TIME WHEN YOU READ SUCH STATEMENTS THE UNDERLYING
RULES, REGULATIONS AND/OR DECISIONS MAY NO LONGER BE CONTROLLING OR
PERSUASIVE AS A MATTER OF LAW OR INTERPRETATION. |
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