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, and 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: 90k
I love OP’s humility and sense of humor!
You couldn't have chosen a better Blind username.
Simple solution...just do your pre-clears, and hold your securities for the requisite amount of time. It's annoying, but you have to do it
Just stop doing the things to get you violations?
first one was me, second was wife :) I am not confident she will remember, not the brightest tool in the box. ironically neither am I so we are perfect for each other.
I’m gonna assume it’s something like investing in an individual stock. Just start investing in etfs only. Better to lose investment upside than your job