[Hedley Lamarr]

lmao you don't need a conviction to be barred. it's all about arbitration

There is never a FINRA or SEC arbitration unless there is significant evidence of wrong doing. Some will sign an AWC to avoid penalties which include being expelled/barred.

[NiceJewishBoy]

There is never a FINRA or SEC arbitration unless there is significant evidence of wrong doing. Some will sign an AWC to avoid penalties which include being expelled/barred.

Actually there doesn't need to be any evidence, just allegations.

Look obviously some dude who got kicked out of the security industry for churning accounts is gonna be a mother****er regardless. Guys who "lost clients money" nah Merchants are liars. Investors are liars.

[capfront]

You are correct, but I think we're splitting hairs...My point still stands.