The allegations read: Without admitting or denying the findings, lieberman consented to the sanction and to the entry of findings that in connection with an examination being conducted by finra, he refused to provide documents and information, to appear for an on-the-record testimony, and to cooperate with finra's investigation. The findings stated that finra began an examination into lieberman's activities while employed by a member firm and requested the on-the-record testimony and documents and information. The examination concerned various potential sales practice violations.
