FINRA

FINRA RULE 2010, NASD RULE 2110: MCINTYRE FALSIFIED REIMBURSEMENT REQUEST FORMS AND RECEIPTS AND SUBMITTED THEM TO HIS MEMBER FIRMS, WHICH RETAINED THE DOCUMENTS IN THEIR RECORDS; MCINTYRE USED DECEPTIVE MEANS TO OBTAIN FUNDS TO WHICH HE WAS NOT ENTITLED FROM HIS FIRMS. MCINTYRE COMPLETED AND SUBMITTED TO HIS MEMBER FIRMS FORMS REQUESTING REIMBURSEMENT OF BUSINESS EXPENSES. ON EACH FORM, MCINTYRE INCLUDED REQUESTS FOR REIMBURSEMENT OF WHAT HE REPRESENTED TO BE BUSINESS-RELATED MEALS AND ATTACHED CREDIT CARD RECEIPTS PURPORTING TO EVIDENCE PAYMENTS FOR THOSE MEALS. THE MEMBER FIRMS RETAINED THE FALSE RECEIPTS AND REIMBURSEMENT FORMS IN THEIR RECORDS. MCINTYRE DID NOT ACTUALLY INCUR ANY OF THESE EXPENSES AND NONE OF THESE RECEIPTS WAS ACTUALLY ISSUED BY ITS PURPORTED PAYEE. RATHER, MCINTYRE CREATED EACH RECEIPT ON A COMPUTER. THE FIRMS PAID MCINTYRE A TOTAL OF APPROXIMATELY $3,733.64 FOR THE FICTITIOUS BUSINESS MEALS LISTED ON THE REIMBURSEMENT REQUEST FORMS.

Decision

Bar (Permanent)

All Capacities

8/27/2012

Monetary Penalty other than Fines

$1,343.25

HEARING PANEL DECISION RENDERED JULY 9, 2012, WHEREIN MCINTYRE IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY FOR SUBMITTING FALSE EXPENSE REPORTS AND RECEIPTS AND CONVERTING FUNDS FROM HIS EMPLOYER, IN VIOLATION OF NASD RULE 2110 AND FINRA RULE 2010. IN ADDITION, MCINTYRE IS ORDERED TO PAY COSTS IN THE AMOUNT OF $1,343.25, WHICH INCLUDES THE HEARING TRANSCRIPT COSTS AND AN ADMINISTRATIVE FEE OF $750. THESE COSTS SHALL BE DUE ON A DATE SET BY FINRA, BUT NOT SOONER THAN 30 DAYS AFTER THIS DECISION BECOMES FINRA'S FINAL DISCIPLINARY ACTION IN THIS PROCEEDING. FINRA FOUND THAT IT HAD ALLEGED IN ITS COMPLAINT THAT MCINTYRE CONVERTED A TOTAL OF $3,733.64 BECAUSE IT DID NOT INCLUDE IN ITS TOTAL CALCULATION A FICTITIOUS RECEIPT OF A CERTAIN DATE IN THE FIRST YEAR, BUT MCINTYRE IDENTIFIED IT AS ONE OF THE RECEIPTS HE FABRICATED AND SUBMITTED TO HIS FIRM FOR PAYMENT. THEREFORE, MCINTYRE IN TOTAL CONVERTED $4,109.40 FROM HIS FIRM BY SUBMITTING FABRICATED RESTAURANT CREDIT CARD RECEIPTS. DECISION BECAME FINAL AUGUST 27, 2012.

CLAIMANT ALLEGED UNSUITABILITY IN CONNECTION WITH AN INVESTMENT MADE IN JUNE 87. CLAIMANT CLAIMED DAMAGES OF $6,902.00 PLUS INTEREST AT THE LEGAL RATE.

$6,902.00

$6,902.00

AWARD IN THE AMOUNT OF $12,565.35 WAS PAID ON SEPT 13, 1995 TO [CUSTOMER]. MR. MCINTYRE WAS ASKED TO CONTRIBUTE $10,000.00 TO THE AWARDED AMOUNT.