0001089355-14-000003.txt : 20140806 0001089355-14-000003.hdr.sgml : 20140806 20140806172407 ACCESSION NUMBER: 0001089355-14-000003 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140804 ITEM INFORMATION: Other Events FILED AS OF DATE: 20140806 DATE AS OF CHANGE: 20140806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIEBERT FINANCIAL CORP CENTRAL INDEX KEY: 0000065596 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 111796714 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-05703 FILM NUMBER: 141020960 BUSINESS ADDRESS: STREET 1: 885 THIRD AVENUE STREET 2: SUITE 1720 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126442400 MAIL ADDRESS: STREET 1: 885 THIRD AVENUE STREET 2: SUITE 1720 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: MICHAELS J INC DATE OF NAME CHANGE: 19950221 8-K 1 n14035.htm FORM 8-K

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

 

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
incorporation)

(Commission File Number)

(IRS Employer Identification
Number)

 

 

 

 

 

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