From September 30, 2009, through February 5, 2010, and from May 24, 2011, through June 27, 2011, BIFS allowed a statutorily disqualified person (due to a felony conviction for serious injury by motor vehicle) to associate with the firm prior to approval, in violation of FINRA Rule 2010, and FINRA By-Laws, Article III, Section 3.
FORBES: Stockbroker Convicted Of Motor Vehicle Felony Poses Reporting Problems For Brokerage Employer