Willfully failed to amend his Form U4 to disclose material facts

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Oct 22, 2010 11:20 pm

What does that mean? And, why do people get barred for this? Any examples?

Oct 23, 2010 12:36 am

Did not report outside business activities would be my first guess. If anything changes from last time your U4 was processed then you must amend it.

Oct 23, 2010 11:03 am

Yup, outside activity, but also reporting a felony or bankruptcy among other things.