Current Report Filing (8-k)
August 06 2014 - 5:24PM
Edgar (US Regulatory)
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UNITED STATES
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SECURITIES AND EXCHANGE COMMISSION
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Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
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Pursuant to Section 13 or 15(d) of the Securities Exchange Act of
1934
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Date of Report (Date of earliest event reported): August 4, 2014
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SIEBERT FINANCIAL CORP.
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(Exact name of registrant as specified in its charter)
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New York
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0-5703
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11-1796714
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(State or other jurisdiction of
incorporation)
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(Commission File Number)
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(IRS Employer Identification
Number)
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885 Third Avenue, New York, New York
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10022
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area
code: (212)
644-2400
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(Former name or former address, if changed since last report.)
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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):
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o
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Written
communications pursuant to Rule 425 under the Securities Act
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o
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act
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o
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act
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o
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act
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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
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By:
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/s/ Joseph M. Ramos, Jr.
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Joseph M.
Ramos, Jr.
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Executive
Vice President, Chief Operating Officer,
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Chief
Financial Officer and Secretary
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