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2024083025801 Simon Michel Joseph CRD 5602157 AWC gg.pdf
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2024083025801 Simon Michel Joseph CRD 5602157 AWC gg.pdf
Between December 2019 and July 2024, Joseph willfully failed to disclose a consent order issued by the Maryland Securities Commissioner of the Maryland Securities Division on several Uniform Applications for Securities Industry Registration or Transfer (Forms U4) filed with FINRA. As a result, he violated Article V, Section 2(c) of FINRA’s By-Laws and he violated FINRA Rules 1122 and 2010. For these violations, Joseph is fined $5,000 and suspend…
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