Tax lien on my firm

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Jun 2, 2011 3:39 pm

I have a tax lien on my Investment firm (I am indy) for failure to pay payroll taxes. Do I need to disclose this on my U4? I have already disclosed the personal tax lien. Thanks for your help in advance.

Jun 16, 2011 12:11 am

Is the lien on the firm from the same debt as the one on you personally?  If so, I would consider amending your personal lien disclosure to include the firm lien but consult with your compliance department first.