Jay Hatton Submits Offer of Settlement
Jay Hatton (CRD #1725472, Edinburgh, Indiana) submitted an Offer of Settlement in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, Jay Hatton consented to the sanctions and to the entry of findings that he willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose criminal matters, a judgment and a lien.
The findings stated that Jay Hatton made material misrepresentations and failed to disclose material information to his member firm on its 2010, 2011, 2012 and 2013 Advisor Questionnaires. Jay Hatton falsely answered “no” to the questions that asked, “Do you have any outstanding judgments/liens?” and “Is your current CRD U4 outdated, inaccurate or incomplete in any material respect?” The findings also stated that Jay Hatton failed to appear and provide FINRA with requested testimony in connection with an investigation regarding his failure to disclose certain material events on his Form U4. The suspension is in effect from February 21, 2017, through February 20, 2019.
For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956 or by email at [email protected]. This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute, legal and compliance advice on any specific matter, nor does this message create an attorney-client relationship. Please note that the prior results discussed herein do not guarantee similar outcomes.
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Brenda Hamilton, Securities Attorney
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