RASHIMA THOMAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RASHIMA THOMAS (CRD No. 5046829), Respondent. Disciplinary Proceeding No. 2011029913301 Hearing Officer - MC DEFAULT DECISION January 4, 2013 For failing to provide information upon request, in violation of FINRA Rules 8210 and 2010, Respondent Rashima Thomas is barred from associating with any FINRA member firm in any capacity. Appearances Allen D. Boyer, Senior Appellate Counsel, and Susan Light,
Reference 2011029913301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5046829 |
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