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ARTICLE · 17 NOVEMBER 2021

Representative Settles FINRA Charges For Registration Form Filing Deficiencies

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A registered representative settled FINRA charges for failing to timely file an amended registration Form U4.

United StatesFinance and Banking
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A registered representative settled FINRA charges for failing to timely file an amended Form U4 ("Uniform Application For Securities Industry Registration or Transfer").

In a Letter of Acceptance, Waiver and Consent, FINRA found that a registered representative failed to timely disclose a tax lien filed in 2017. The individual disclosed the tax liability on Form U4 in January 2019. FINRA found the representative violated the 30-day requirement under Article V, Section 2(c)("Application for Registration") of FINRA's By-Laws, FINRA Rule 1122 ("Filing of Misleading Information as to Membership or Registration"), and FINRA Rule 2010 ("Standards of Commercial Honor and Principles of Trade").

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