For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Ralph William Hicks Jr., submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of Ralph William Hicks Jr., Respondent (AWC 2010023789701, March 28,2013). …read more
Source: FULL ARTICLE at Forbes Latest