Search results with tag "Individual s"

Form U4 Explanation of Terms - FINRA

April – Version 2014.1 4 Charged Means being accused of a crime in a formal complaint, information, or indictment (or equivalent formal charge). Date Terminated Means the date that the firm terminated the individual's association with the firm in a capacity for which registration is required. Disciplinary Action Includes a formal action such as denial, revocation or suspension …

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