Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE
2010
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.
February 2010 - View all for this month
Ema Bekirovik
2008013684301
Bekirovik converted $240 from her member firm’s affiliate bank by taking $240 out of a cash bag without authorization and using the funds for personal use. Bekirovik failed to respond to FINRA requests for information.
Ema Bekirovik : Barred
Bill Singer's Comment
When FINRA says that this RR took $240 out of a cash bag without authorization is that anything like that very technical term . . . you know, the one that says that this RR "stole" $240?  If I stick a gun in your face and demand you hand over your wallet, is that the same as my taking your wallet without authorization and using the funds for my own use?


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