{"id":2913,"date":"2015-09-30T00:00:00","date_gmt":"2015-09-30T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/samuel-borger-suspended-by-finra-for-two-months\/"},"modified":"2018-10-08T12:41:02","modified_gmt":"2018-10-08T16:41:02","slug":"samuel-borger-suspended-by-finra-for-two-months","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/samuel-borger-suspended-by-finra-for-two-months\/","title":{"rendered":"Samuel Borger Suspended by FINRA for Two Months"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Samuel-Borger-Suspended-by-FINRA-for-Two-Months.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1882\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Samuel-Borger-Suspended-by-FINRA-for-Two-Months-1024x689.jpg\" alt=\"Samuel Borger Suspended by FINRA for Two Months on silverlaw.com\" width=\"1024\" height=\"689\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Samuel-Borger-Suspended-by-FINRA-for-Two-Months-1024x689.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Samuel-Borger-Suspended-by-FINRA-for-Two-Months-300x202.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>FINRA did not impose a fine though Borger failed to report outside accounts<\/h2>\n<\/p>\n<p>After 43 years in the securities industry, Samuel Jacob Borger was hit with a two-month suspension from FINRA on May 29 following allegations that he failed to inform his employing firm of outside accounts over which he had authority, <a href=\"https:\/\/brokercheck.finra.org\/https:\/\/brokercheck.finra.org\/\"  target=\"_blank\">according to FINRA reports<\/a>.<\/p>\n<p>From November 2003 to April 2014, Borger allegedly failed to disclose his association with several outside accounts to any of his employing firms in that time period. These allegations violate rules under both FINRA and the National Association of Securities Dealers (NASD). He accepted the two-month suspension without admitting or denying the findings, and he submitted a statement regarding his finances and inability to pay a fine, so a fine was not imposed.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/samuel-borger-suspended-by-finra-for-two-months\/\"  title=\"Continue Reading Samuel Borger Suspended by FINRA for Two Months\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>FINRA did not impose a fine though Borger failed to report outside accounts After 43 years in the securities industry, Samuel Jacob Borger was hit with a two-month suspension from FINRA on May 29 following allegations that he failed to inform his employing firm of outside accounts over which he had authority, according to FINRA [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[385],"class_list":["post-2913","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-suspended-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Samuel Borger Suspended by FINRA for Two Months &#8212; Securities Arbitration Lawyers Blog &#8212; September 30, 2015<\/title>\n<meta name=\"description\" content=\"Read the full article on Samuel Borger Suspended by FINRA for Two Months Borger allegedly failed to disclose his association on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/samuel-borger-suspended-by-finra-for-two-months\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Samuel Borger Suspended by FINRA for Two Months &#8212; Securities Arbitration Lawyers Blog &#8212; September 30, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Read the full article on Samuel Borger Suspended by FINRA for Two Months Borger allegedly failed to disclose his association on silverlaw.com\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Samuel-Borger-Suspended-by-FINRA-for-Two-Months.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Samuel Borger Suspended by FINRA for Two Months &#8212; 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