THOMAS M. ARETZ

01/31/2011: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. THOMAS M. ARETZ (CRD NO. 1083897), RESPONDENT. DISCIPLINARY PROCEEDING NO. 20090177643 COMPLAINT The Department of Enforcement ("Department") alleges: SUMMARY 1. Respondent Thomas M. Aretz ("Aretz" or "Respondent") established an outside business activity, without the permission of his FINRA-regulated broker-dealer employer, in violation of NASD Rules 3030 and 2110, as well as FINRA Rule 2010. In connection with this business, Aretz

06/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS M. ARETZ (CRD No. 1083897), Respondent. Disciplinary Proceeding No. 20090177643 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 21, 2011 Respondent is barred from associating with any FINRA-registered firm in any capacity for: (1) engaging in outside business activities, in violation of NASD Conduct Rules 3030 and 2110, and FINRA Conduct Rule 2010; (2) borrowing money from customers,

Reference 2009017764301data-portal.finra.orgdata-portal.finra.orgfinra.org