from brokercheck.com
"
3/28/2016
Regulatory
Final
?
Initiated By
FINRA
Allegations
Without admitting or denying the findings, Hambrecht consented to the sanctions and to the entry of findings that he willfully failed to amend his Form U4 to timely disclose unsatisfied judgments relating to outside businesses totaling approximately $22.5 million, which were entered against him between April 2012 and August 2013. The findings stated that the judgments were not disclosed on Hambrecht's Form U4 until either April 2014 or July 2014.
Resolution
Acceptance, Waiver & Consent(AWC)
Sanctions
Civil and Administrative Penalty(ies)/Fine(s)
Amount
$15,000.00
Sanctions
Suspension
Duration
one year
Start Date
4/4/2016
End Date
4/3/2017
Sanctions
Respondent understands that this settlement includes a finding that he willfully omitted to state a material fact on a Form U4, and that under Section 3(a)(39)(F) of the Securities Exchange Act of 1934 and Article III, Section 4 of FINRA's By-Laws, this omission makes Respondent subject to a statutory disqualification with respect to association with a member. Fine paid in full on May 18, 2016.
"
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All posts are strictly my opinion and are not buy or sell recommendations.
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