FINRA
3 Times - Screwed Me
Without admitting or denying the findings, Tufts consented to the sanction and to the entry of findings that he failed to appear for on-the-record testimony requested by FINRA during the course of an investigation into, among other things, his supervision over a former registered representative of his member firm.
“Without admitting or denying the findings, Templeton consented to the sanction and to the entry of findings that he failed to provide documents and information requested by FINRA during the course of an investigation into allegations that he, among other things, misused customer funds and committed other sales practice violations.”
- The Public record even includes extension requests but not the initial explanation
- But will NOT truthfully, nor accurately disclose all my Submissions