Alan Bruce Levin (CRD #3073530, Registered Principal, Coral Springs, Florida)
was fined $10,000 and suspended from association with any FINRA member in any principal capacity for 10 business days.
Without admitting or denying FINRA's findings, Levin consented to the described sanctions and to the entry of findings that, as his member firms’ FINOP, he allowed the firms to conduct a securities business while net capital deficient and failed to file the requisite net capital and early warning notifications for the firms.
FINRA's findings said that Levin caused the firms to file inaccurate FOCUS Reports and to maintain inaccurate books and records. Levin also caused one of the firms to file an inaccurate Annual Audit.
This suspension was in effect from September 17, 2012, through September 28, 2012.
(FINRA Cases #2010021107702/2010021256002)
The above information was obtained from FINRA’s website listed under “Disciplinary and Other FINRA Actions, October, 2012.”
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