According to FINRA’s Disciplinary Actions publication, New Jersey broker Harvey Herman Meldrum (CRD No. 1804905) of BCG Securities, Inc. was fined $5,000 and suspended from association with any FINRA member for three (3) months for violation of FINRA rules and by-laws.
Meldrum entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with BCG Securities, Inc., he failed to disclose five (5) federal tax liens on FINRA reporting forms in violation of FINRA. FINRA alleged that upon receiving notice of the liens Meldrum should have updated the disclosures within thirty days, but failed to do so. (See FINRA Case No. 2014040319701)
Meldrum was registered with BCG Securities, Inc. from 2/2006 – 2/2014.
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