The allegations read: Without admitting or denying the findings, glaser consented to the sanction and to the entry of findings that he refused to respond to finra requests for information and documents in connection with an investigation into the circumstances surrounding the termination of glaser's registration by his member firm. The findings stated that the firm terminated glaser's registration, reporting that it had received an arbitration claim alleging that he had solicited a private investment away from the firm.
