Beliveau Bays

10/17/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Beliveau Bays CRD No. 6034987, Respondent. Disciplinary Proceeding No. 2021070734301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In July 2019, Respondent Beliveau Bays, while associated with LPL Financial LLC (LPL), forged the electronic signatures of four customers on six account applications and one account transfer form. The customers did not give Bays permission to sign their names nor did they have any knowledge that Bays had done so. As a result of the foregoing, Bays independently violated FINRA Rule 2010, and violated FINRA Rules 4511 and 2010.

03/28/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BELIVEAU BAYS (CRD No. 6034987), Respondent. Disciplinary Proceeding No. 2021070734301 Hearing Officer–MJD DEFAULT DECISION March 28, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for providing FINRA with false, misleading, and incomplete information and testimony during an investigation, giving insurance companies false information in connection with life insurance applications, forging customer signatures on account documents, and causing his firm to maintain inaccurate books and records. Appearances For the Complainant: Robert Kennedy, Esq., Mark S. Geiger, Esq., and John R. Baraniak, Jr., Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance DECISION In March 2021, Respondent Beliveau Bays’s employer, a FINRA member firm, terminated him for allegedly providing the firm with false statements during an inter

Reference 2021070734301data-portal.finra.orgdata-portal.finra.orgfinra.org