{"id":2918,"date":"2015-09-24T00:00:00","date_gmt":"2015-09-24T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/"},"modified":"2018-10-08T12:41:06","modified_gmt":"2018-10-08T16:41:06","slug":"david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/","title":{"rendered":"David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"wp-image-1955 aligncenter\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-1024x683.jpg\" alt=\"David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration on silverlaw.com\" width=\"496\" height=\"331\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-300x200.jpg 300w\" sizes=\"auto, (max-width: 496px) 100vw, 496px\" \/><\/a><\/h2>\n<h2>Ledoux failed to report six liens between 2004 and 2012<\/h2>\n<\/p>\n<p>Boca Raton broker David J. Ledoux faced a suspension and fine in June after allegations that he failed to file an updated Form U4 to reflect six liens in a timely manner, <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2513636\"  target=\"_blank\">according to FINRA<\/a>. Ledoux, who has been employed in the security industry since 2004, was permitted to resign from National Securities Corporation after allegedly failing to report liens between 2004 and 2012. He didn\u2019t report four of them until 2014 and two were never disclosed.<\/p>\n<p>This resulted in disciplinary action from FINRA, which levied sanctions against him in the form of a 45-day suspension and $5,000 fine. The first lien, which was civil, was in the amount of $369, but the remaining tax liens amounted to a total of more than $184,000, <a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/54057\"  target=\"_blank\">according to FINRA<\/a>. According to the disclosures made on his FINRA Broker Check report, he is on an installment plan to repay two of them.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/\"  title=\"Continue Reading David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Ledoux failed to report six liens between 2004 and 2012 Boca Raton broker David J. Ledoux faced a suspension and fine in June after allegations that he failed to file an updated Form U4 to reflect six liens in a timely manner, according to FINRA. Ledoux, who has been employed in the security industry since [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[385],"class_list":["post-2918","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-suspended-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration &#8212; Securities Arbitration Lawyers Blog &#8212; September 24, 2015<\/title>\n<meta name=\"description\" content=\"Check ut the new article on David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration 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\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration &#8212; 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Securities Arbitration Lawyers Blog &#8212; September 24, 2015","twitter_description":"Check ut the new article on David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration on silverlaw.com","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration","datePublished":"2015-09-24T04:00:00+00:00","dateModified":"2018-10-08T16:41:06+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/"},"wordCount":404,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/David-Ledoux-Fined-and-Suspended-by-FINRA-After-Failing-to-Disclose-Liens-on-His-Registration-1024x683.jpg","keywords":["Suspended by FINRA"],"articleSection":["All Releases","Class Action"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/","url":"https:\/\/www.silverlaw.com\/blog\/david-ledoux-fined-and-suspended-by-finra-after-failing-to-disclose-liens-on-his-registration\/","name":"David Ledoux Fined and Suspended by FINRA After Failing to Disclose Liens on His Registration &#8212; 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