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arn182

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arn182

Re: jsmoov post# 50458

Thursday, 08/29/2019 12:29:48 PM

Thursday, August 29, 2019 12:29:48 PM

Post# of 63517
Ohhh yeah. Please post such regulatory actions. There is only 1 from a case 20 years ago. It could of been as simple as him not saying he paid.

NASD REGISTRATION SUSPENDED MARCH 23, 2005 FOR FAILING TO COMPLY WITH AN ARBITRATION AWARD OR SETTLEMENT AGREEMENT OR PAY FEES IN ARBITRATION CASE #02-03055 OR TO SATISFACTORILY RESPOND TO AN NASD REQUEST TO PROVIDE INFORMATION CONCERNING THE STATUS OF COMPLIANCE.
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