THOMAS M. KINSER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. THOMAS M. KINSER (CRD No. 1435579), Disciplinary Proceeding No. 2009017466201 Hearing Officer - MC DEFAULT DECISION April 18,2011 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) violating NASD Conduct Rules 2110 and 2330 by converting approximately $330,000; (ii) violating NASD Conduct
Reference 2009017466201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1435579

Other names1

Also known as1

THOMAS MICHAEL KINSER

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