I handle a lot of FINRA arbitration matters. You sound like a registered rep to me. This may be resolved informally or not, but it sounds like you may have some serious damages. Please send me an email or call my office to discuss.

Best,

Daniel Bakondi, Esq.

danielbakondi@yahoo.com

415-450-0424

The Law Office of Daniel Bakondi, APLC

870 Market Street, Suite 1161

San Francisco CA 94102

http://www.danielbakondi.com

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If you have the necessary qualifications for what you do, there are no serious customer complaints about you, and the failure to complete the application process was largely or completely not your fault, your personal risk should be minimal. I do practice securities law, but it has been in the area of private placements and issuer transactions, not broker-dealers. My office-at-home is in the 94971 Zip, about 15 miles west of where I'd suppose you are. Please take a look at my Web site, www.bizlaw.ws, and contact me if interested.