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FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
NASD RULES 2110, 8210: THOME, WHILE ASSOCIATED WITH A MEMBER FIRM, MISAPPROPRIATED AND USED $435,000 RECEIVED FROM HIS FORMER CUSTOMER FOR INVESTMENT PURPOSES IN A REAL ESTATE PARTNERSHIP WITH THOME AND IN A PURPORTED BUSINESS PARTNERSHIP WITH THOME. THOME FAILED TO PROVIDE REQUESTED INFORMATION TO FINRA.
Resolution
Acceptance, Waiver & Consent(AWC)
Bar
Bar (Permanent)
Registration Capacities Affected
All Capacities
Start Date
8/20/2009
Sanctions
Restitution
Amount
$402,137.50
Regulator Statement
WITHOUT ADMITTING OR DENYING THE FINDINGS, THOME CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY. THOME IS ORDERED TO PAY RESTITUTION TO THE CUSTOMER IN THE AMOUNT OF $402,137.50, PLUS INTEREST UNTIL THE DATE OF PAYMENT. THE RESTITUTION AMOUNTS ORDERED, PURSUANT TO THIS DISCIPLINARY ACTION, IS DUE AND PAYABLE IMMEDIATELY UPON RE-ASSOCIATION WITH A MEMBER FIRM OR PRIOR TO ANY APPLICATION OR REQUEST FOR RELIEF FROM ANY STATUTORY DISQUALIFICATION RESULTING FROM THIS OR ANY OTHER EVENT OR PROCEEDING, WHICHEVER IS EARLIER. IF FOR ANY REASON THOME CANNOT LOCATE THE CUSTOMER AFTER REASONABLE AND DOCUMENTED EFFORTS WITHIN SUCH PERIOD, THOME SHALL FORWARD ANY UNDISTRIBUTED RESTITUTION AND INTEREST TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY, OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED.
License(s)
The broker is not currently registered with any state or SRO.
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.