• Certain misdemeanor and all felony criminal convictions for a period of ten years from the date of conviction.
• Temporary and permanent injunctions (regardless of their age) issued by a court of competent jurisdiction involving a broad range of unlawful investment activities.
• Expulsions or bars (and current suspensions) from membership or participation in a self-regulatory organization (SRO). This includes bars with a right to re-apply.
• Bars (and current suspensions) ordered by the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) or other appropriate regulatory agency or authority. Includes bars with a right to re-apply.
• Denials or revocations of registration by the SEC, CFTC or other appropriate regulatory agency or authority.
In settling this case, CGMI neither admitted nor denied the charges, the regulator said. The firm did not immediately respond to a request for comment.