Please no judgements here. I just got two violations of my firms trading policy and now I am on my final warning. I am not FINRA registered and I am a public side employee, just an software guy. I really don't want to get barred from the industry, but I am not sure I will because I am not FINRA registered. To be quite clear these violations are because I am stupid, not because I am trading based on insider info. I am thinking of just quitting rather than risk getting barred from the industry. Thoughts? Edit: I am in the states btw if that makes a difference. Also, I don't work at ADP anymore ofc. Yes, my username is fit for my actions :) TC: 165k
I had two colleagues get dinged for it and all that happened is they had to donate the proceeds to charity. It was on their internal record but afaik not reported to finra. If you get fired though, your new employer may ask why. And if you tell the truth, well youâre fscked Wouldnât happen to be Barclays? They have an overly broad coverage of PIA that other banks donât have.
You have one infraction left. Can you just stop doing actions that violate it?
Lol. Tell us the story
Literally just did. There is nothing more to it :) I am on my final warning. Will I get barred from industry if I get fired?