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koonohiokala

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koonohiokala

Re: None

Tuesday, 04/02/2013 12:57:51 PM

Tuesday, April 02, 2013 12:57:51 PM

Post# of 111705
Briefly: when Finra conducts an investigation, they will be looking closely at:

1) Mark's history of making bad choices or not.

2) Each individual bad incident if any and what ill begotten gains occurred as a result.

3) What the ill begotten gains was spent on.

Finra (specifically, the adjudicator for Finra) may or may not conclude with a unique set of disciplinary measures constucted and enforced to deter any future bad choices.

Link to Sanction Guidelines:
http://www.finra.org/web/groups/industry/@ip/@enf/@sg/documents/industry/p011038.pdf
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