The allegations read: Without admitting or denying the findings, ly consented to the sanction and to the entry of findings that he failed to provide information and documents and to appear for testimony requested by finra in connection with its investigation it initiated following his member firm's filing of a rule 4530 disclosure concerning his termination. The findings stated that ly made a partial production responsive to the requests for documents and information but failed to produce the outstanding information by the due date.
