RRBDLAW.com 917-520-2836 : SEC and FINRA Statutory Disqualification Index

Statutory Disqualification Index

SEC and FINRA

CASES OF NOTE

Links to SEC and FINRA Statutory Disqualification Cases

Statutory Disqualification Definitions
U4/U5/RE-3 Cases for Discussions of Disqualifying Disclosures

Underlying Disqualification
Felony	08001, 08007, 07001, 07002, 07003, 06002, 06012, 03001, 03002, 03007, 04005, 04017, 05008, 02001, 02002, 02003, 02004, 02009, 02010
DUI	08007, 07003, 06012, 03002, 04005, 02002, 02009, 02010
Controlled Substance	07001, 06002, 02001, 02003
Tax Issues	07002, 03001, 05008, 02004
Forgery	06002
Theft	08001
Misdemeanor	08007, 07001, 06001, 06002, 02008
Insider Trading	01001
Permanent Injunction	03006, 03004, 02007, 01001
Willfulness	09-34-60133, 08002, 08003, 07002, 07003, 06001, 05008
Bankruptcy	08002
Cherry Picking	08004
Factors Considered
Recency	08003, 08004, 08007, 07001, 06012, 03006, 03007, 04005, 05008, 02001, 02002, 02008, 02009, 01001
Treatment/Rehabilitation	08007, 07001, 07003, 06012, 04005, 02001, 02002, 02009
Age of Applicant	08001, 04005, 01001
Sponsor's Regulatory History	08002, 08007, 07001, 07002, 07003, 06001, 03001, 03006, 01001
Taping Rule	02002
Remote State	08004, 02002, 02004
Was there a conviction	08002, 04017
Prior misconduct	08001, 08002, 08003, 08007, 07001, 07002, 06002, 06012
Adequacy of plan	08001, 08003, 08004, 08007, 07001, 07002, 07003, 06001, 06002, 06012
Van Dusen	08002, 07002
Non-Registered Affiliation	09-34-60133
Final Decision
Denial	08003, 08004, 08007, 07002, 06002, 06012, 03006, 03007, 04005, 05008, 02001, 02002, 01001
Approval after hearing	07002, 07003, 03001, 04017, 03004, 02003, 02009
Approval w/o hearing	08001, 08002, 07001, 06001, 03002, 02004, 02007, 02008, 02010
SEC appeal/remand	07002, 05008

Sections

It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.

January 30, 2024

Before my second career as a lawyer, I was the third generation of my family in the wine and liquor industry. In 1981, I started law school; and in 1982, I was hired as a law student in Smith Barney, Harris & Upham's Legal Department. After I graduated law school, I was a regulatory lawyer with the American Stock Exchange and then with the NASD (now... Read On

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