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Hambrecht suspension ends on April 3rd... not sure

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db7 Member Level  Thursday, 03/23/17 05:21:10 PM
Re: bedrock post# 347
Post # of 385 
Hambrecht suspension ends on April 3rd... not sure that it will cause any change here going forward but I'm hopeful


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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