JOHN THOMAS THORNES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES, (CRD No. 40868), and JOHN THOMAS THORNES (CRD No. 2097878), Respondents. DISCIPLINARY PROCEEDING No. 2012030567401 HEARING OFFICER: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 18, 2013 INTRODUCTION Disciplinary Proceeding No. 2012030567401 was filed on May 20, 2013, by the Department of Enforcement of the Financial Industry Regulatory
05/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES, (CRD No. 40868), and JOHN THOMAS THORNES (CRD No. 2097878), Respondents. DISCIPLINARY PROCEEDING No. 2012030567401 HEARING OFFICER: EXPEDITED HEARING REQUESTED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 2010 through January 2013 (the"Relevant Period"), Respondent John Thomas Thornes converted customer assets in two
Reference 2012030567401data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2097878

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.