|
|
|
UNITED STATES |
|
SECURITIES AND EXCHANGE COMMISSION |
|
Washington, D.C. 20549 |
|
|
|
FORM 8-K |
|
|
|
CURRENT REPORT |
|
|
|
Pursuant to Section 13 or 15(d) of the |
|
|
|
Date of Report (Date of earliest event reported): August 4, 2014 |
|
|
|
SIEBERT FINANCIAL CORP. |
|
(Exact name of registrant as specified in its charter) |
|
|
|
|
|
New York |
0-5703 |
11-1796714 |
|
(State or other jurisdiction of |
(Commission File Number) |
(IRS Employer Identification |
|
|
|
|
|
|
|
|
|
885 Third Avenue, New York, New York |
10022 |
|
|
(Address of principal executive offices) |
(Zip Code) |
Registrant’s telephone number, including area code: (212) 644-2400
|
|
|
(Former name or former address, if changed since last report.) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
|
|
|
|
o |
Written communications pursuant to Rule 425 under the Securities Act |
|
|
|
|
o |
Soliciting material pursuant to Rule 14a-12 under the Exchange Act |
|
|
|
|
o |
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act |
|
|
|
|
o |
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act |
Item 8.01 Other Events.
The Registrant has previously disclosed that it is party to an arbitration proceeding commenced by a former employee following the termination of his employment. A final settlement of this proceeding was completed on August 4, 2014.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: August 6, 2014
|
|
|
|
|
|
|
By: |
/s/ Joseph M. Ramos, Jr. |
|
|
|
|
Joseph M. Ramos, Jr. |
|
|
|
|
Executive Vice President, Chief Operating Officer, |
|
|
|
|
Chief Financial Officer and Secretary |
|