Willfully failed to amend his Form U4 to disclose material facts
Oct 23, 2010 3:20 am
What does that mean? And, why do people get barred for this? Any examples?
Oct 23, 2010 4:36 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 3:03 pm
Yup, outside activity, but also reporting a felony or bankruptcy among other things.